Full text of CETERA INVESTMENT SERVICES LLC's X-17A-5 filed 2026-02-27 (period 2025-12-31). 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, 2025 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}------------------------------------------------ Public **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** > **ANNUAL REPORTS FORM X-17A-5 PART** Ill | 0MB APPROVAL | |---------------------------| | 0MB Number: 3235-0123 | | Expires: Nov. 30, 2026 | | Estimated average burden | | hours per response:<br>12 | | | SEC FILE NUMBER 8-31826 | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | |---------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------|-----------------------------------------|----------------------------------------------|--|--| | AND ENDING 12/31/2025<br>FILING FOR THE PERIOD BEGINNING 01/01/2025 | | | | | | | | 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>□ Check here if respondent is also an OTC derivatives dealer | □ Security-based swap 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 | MN | | 56302 | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Rodney Dowell | (310) 341-1853<br>rodney.dowell@cetera.com | | | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | Deloitte & Touche LLP | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | (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 | | | | | Tte of ReglSUatlon with PCAOB)llf applicable) | | | (PCAOB Reglst,atlon Numbe,, If applicable) I | | | | | FOR OFFICIAL U…Read the full text as markdown