Full text of Manning & Napier Investor Services, 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 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 # ANNUAL REPORTS FORM X-17A-5 PART III | Estimated average burde | | |-------------------------|----| | hours per response: | 12 | | SEC FILE NUMBER | | | | | ### FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 01/01/22 12/31/22 AND ENDING FILING FOR THE PERIOD BEGINNING MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: Manning & Napier Investor Services, Inc. TYPE OF REGISTRANT (check all applicable boxes): = Broker-dealer | Security-based swap dealer | Major security-based swap participant O Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 290 Woodcliff Drive (No. and Street) Fairport NY 14450 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Michelle O'Brien (585) 325-6880 MObrien@Manning-Napier.com (Name) (Area Code - Telephone Number) (Email Address) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* PricewaterhouseCoopers LLP (Name - if individual, state last, first, and middle name) 300 Willowbrook Office Park Suite 300 Fairport 14450 NY (Address) (City) (State) (Zip Code) 238 10/20/2003 (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 relied on as the basis of the exemption. See 17 CFR 240.17a-5{e){1}(ii), if applicable. 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 OMB control number. {1}------------------------------------------------ ### OATH OR AFFIRMATION | Michelle O'Brien | _ swear (or affirm) that, to the best of my knowledge and belief, the | | |-------------------------------------------------------------------------------------|-----------------------------------------------------------------------|-------| | financial report pertaining to the firm of Manning & Napier Investor Services, Inc. | | as of | 12/3 1 partner, officer, director, or equivalent person, as the case may be, has any propriet…Read the full text as markdown