Full text of CETERA INVESTMENT SERVICES LLC's X-17A-5 filed 2023-02-24 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## CETERA INVESTMENT SERVICES LLC (SEC I.D. No. 8-31826) STATEMENT OF FINANCIAL CONDITION AS OF DECEMBER 31, 2022 AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Filed pursuant to Rule 17a-5(d) under the Securities Exchange Act of 1934 as a Public Document. {1}------------------------------------------------ | SECURITIES AND EXCHANGE COMMISSION | OMB APPROVAL<br>OMB Number: 3235-0123<br>Expires: Oct. 31, 2023 | | | | | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------|---------|--------------------------------------------|--|--| | | Estimated average burden<br>hours per response: 12 | | | | | | | SEC FILE NUMBER | | | | | | | FORM X-17A-5 | | 8-31826 | | | | | PART III | | | | | | | | | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | | | FILING FOR THE PERIOD BEGINNING 01/01/2022 | | | | | | | | MM/DD/YY | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | | | | NAME OF FIRM: Cetera Investment Services LLC | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Broker-dealer<br>L Check here if respondent is also an OTC derivatives dealer | | | _ Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 400 First St. S. Suite 300 | | | | | | | | (No. and Street) | | | | | | St. Cloud | MIN | | 56302 | | | | (City) | (State) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | (Zip Code) | | | | Tim Bowman | (619) 881-5262 | | Tim. Bowman@cetera.com | | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | B. Accountant Identification | | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | Deloitte & Touche LLP | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 555 W. 5th Street, Floor 2700 Los Angeles | | | 90013<br>CA | | | | (Address) | (City) | (State) | (Zip Code) | | | | October 20, 2003 | | 34 | | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | | | F…Read the full text as markdown