Full text of RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC's X-17A-5 filed 2021-03-01 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # Russell Investments Financial Services, LLC Statement of Financial Condition December 31, 2020 Filed as PUBLIC Information Pursuant Rule 17a-5(d) Under the Securities Exchange Act of 1934 {1}------------------------------------------------ **UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL AUDITED REPORT FORM X-17A-5 PARTIII** 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31 , 2023 Estimated average burden hours per response .... . . 12.00 SEC FlLE NUMBER 8-39227 **FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-S Thereunder** REPORT FOR THE PERIOD BEGINNING **01/01** /20 AND ENDING **12/31 /20** ----------- --- ------ -- MMIDDIYY **A. REGISTRANT IDENTIFICATION** NAME OF BROKER-DEALER: Russell Investments Financial Services, LLC ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) 1301 Second Avenue, 18th Floor (No. and Street) Seattle Washington (City) (State) MM/DD/ Y Y OFFICIAL USE ONLY FIRM 1.D. NO. 98101 (Zip Code) NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT Crista Dumais (206) 505-4580 (Area Code - Telephone Number) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report\* | | (Name - if individual, state last, first, middle 11ame) | | | |-------------------------------------------|---------------------------------------------------------------------|----------|------------| | 30 South Wacker Drive, Suite 3300 Chicago | | Illinois | 60606 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | I<br>Certified Public Accountant<br>111' | | | | | Public Accountant | | | | | | | | | | B | 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.l 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 currently valid 0MB control number.** SEC 1410 (11-05) # RSM US LLP {2}------------------------------------------------ # **OATH OR AFFIRMATION** | I, Crista Dumais | , swear (or af…Read the full text as markdown