Full text of AEGIS INVESTMENTS, INC.'s X-17A-5 filed 2023-02-28 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART Ill** | | SEC FILE NUMBER | | |--|-----------------|--| | | 8-33137 | | ## **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 | ___<br>__<br>0_1_/_0_1/_2_02_2 | AND ENDING | ____<br>12_/_3_1/_2_0_2_2_ | | | | | MM/DD/VY | | MM/DD/VY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: | __<br>____________<br>_<br>A_E_G_I_S_I_N_V_E_S_T_M_E_N_T_S_, _IN_C_. | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>lxJ Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | D Security-based swap dealer | D Major security-based swap participant | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 4915 W 35TH STREET, SUITE 100 | | | | | | | | (No. and Street} | | | | | | ST. LOUIS PARK | MN | | 55416 | | | | (City} | | | (Zip Code} | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | LINDA INGLE | 612-336-4432 | LINDA@AEGISINVESTMENTS.NET | | | | | (Name} | (Area Code - Telephone Number} | (Email Address} | | | | | | 8. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>ELLINGSON & ELLINGSON, LTD. | (Name - if individual, state last, first, and middle name} | | | | | | 5101 VERNON AVES #501 | EDINA | MN | 55436 | | | | (Address} | (City} | (State} | (Zip Code} | | | | 11/17/2009 | | | 3923 | | | | rte of Registcatioo with PCAOB)lif applicable) | | {PCAOB Reg,stcatioo Nombec, if applicable) I | | | | | | FOR OFFICIAL USE ONLY | | | | | | * Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public<br>accountant must be supported by…Read the full text as markdown