Full text of AEGIS INVESTMENTS, INC.'s X-17A-5 filed 2021-03-02 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | 0MB APPROVAL | | | | |-----------------------------|--|-------------------|--| | 0MB Number: | | . 3235-0123 | | | Expires: | | February 28, 2007 | | | Estimated average burden | | | | | hours per response . 12.00 | | | | # **ANNUAL AUDITED REPORT FORM X-17A-5 PARTIII** | SEC FILE NUMBER | | |-----------------|--| | 8-33137 | | **FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING _ | __<br>o_1_10_1_12_o _<br>_<br>_ | __<br>AND ENDING | _ 1_2_13_1_/_2_0 _ | _ _ | |-----------------------------------------------------------------------------------------|-------------------------------------------------------------------|---------------------|---------------------------------|-------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF BROKER-DEALER: | AEGIS INVESTMENTS, INC. | | OFFICIAL USE ONLY | | | | ADDRESS OF PRlNCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM 1.0. NO. | | | 4<br>915 W 35TH STREET, SUITE 206 | | | | | | | (No. and Street) | | | | | ST. LOUIS PARK | MN | | 55416 | | | (City) | (State) | | (Zi p Code) | | | NA ME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>LINDA INGLE | | | 612-337-5335 | | | | | | (Arca Code - Telephone Numbe rj | | | | B. ACCOUNT ANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | ELLINGSON & ELLINGSON, LTD. | | | | | | | (Name - if individual. state last. | first, middle name) | | | | 5101 VERNON AVES #501 | EDINA | MN | | 55436 | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | [{] Certified Public Accountant | | | | | | D Publ<br>ic Accountant | | | | | | | | | | | | D Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | *\*Claims.for exemption.from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of.facts and circumstances relied on as the basis.for the exemption. See Section 240. ! 7a-5(e)(2)* > **Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a cur…Read the full text as markdown