Full text of CETERA INVESTMENT SERVICES LLC's X-17A-5 filed 2024-02-27 (period 2023-12-31). 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) Filed pursuant to Rule 17a-5(d) under the Securities Exchange Act of 1934 as a Public Document. {1}------------------------------------------------ | | Public | | | |----------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------|------------------------|-------------------------------------------------------| | | UNITED STATES | | OMB APPROVAL<br>OMB Number: 3235-0123 | | | SECURITIES AND EXCHANGE COMMISSION | Expires: Nov. 30, 2026 | | | | Washington, D.C. 20549 | | Estimated average burden<br>hours per response:<br>12 | | | ANNUAL REPORTS | | SEC FILE NUMBER | | | FORM X-17A-5 | | 8-31826 | | | PART III | | | | | | | | | | FACING PAGE | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | Filing for the period beginning 01/01/2023 | | AND ENDING 12/31/2023 | | | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: Cetera Investment Services LLC | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | LE Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | _ Security-based swap dealer | | | | | 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 | MN | | 56302 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Rodney Dowell | (310) 341-1853 | | rodney.dowell@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 27 Los Angeles | | CA | 90013 | | (Address) | (City) | (State) | (Zip Code) | | October 20, 2003 | | 34 | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | FOR OFFICIAL USE ONLY | | | | | | | | \* Claims for exemption from the requirement that the annual reports of an independent public accountant must be supported by a statement of facts and circumstances relie CFR 240.17a-5(e){1)(ii), if applicable.…Read the full text as markdown