Full text of AMERICAN ENTERPRISE INVESTMENT SERVICES INC.'s X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # STATEMENT OF FINANCIAL CONDITION American Enterprise Investment Services, Inc. SEC File Number: 8-42582 December 31 , 2020 With Report oflndependent Registered Public Accounting Firm {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response .. ... . 12.00 SEC FILE NUMBER 8-42582 # **ANNUAL AUDITED REPORT FORM X-17 A-5 PART Ill** **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 BEGINN ING 01/01/2020 | | -----<br>AND ENDING 12/31/2020 | ---- | | | | MM/DD/YY | | -<br>-<br>MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: American Enterprise Investment Services, Inc. | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM 1.0. NO. | | | | 802 Ameriprise Financial Center, 707 2nd Avenue South | | | | | | | (No and Street) | | | | | Minneapolis | MN | | 55474 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Michael S. Mattox | | | 612-678-0262 | | | | | | (Area Code - Telephone Num ber) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | Pricewaterhouse Coopers LLP | | | | | | | (Name - if individual, state last, first, middle name) | | | | | One North Wacker Dr. | Chicago | IL | 60606 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | I<br>✓<br>certified Public Acco<br>untant | | | | | | Publ ic Accountant | | | | | | | Accou nt nt 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 240.17a-5(e)(2)* SEC 1410 (11-05) **Potential per…Read the full text as markdown