Full text of AMERICAN ENTERPRISE INVESTMENT SERVICES INC.'s X-17A-5 filed 2023-02-27 (period 2022-12-31). 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, 2022 With Report of Independent Registered Public Accounting Fim1 {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington,** D.C. **20549** | ANNUAL REPORTS | |----------------| | FORM X-17A-5 | | PART Ill | | | SEC FILE NUMBER | |---------|-----------------| | 8-42582 | | **FACING PAGE** **Information Required Pursuant ta Rules l7a-5, 17a-1Z, and lBa-7 under the Securities Exthan1e Act of 1934** | FILING FOR THE PERIOD BEGINNING 01/01/2022 | | AND ENDING 12/31/2022 | | |--------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------|-----------------------------------------|---------------------------------------------| | MM/DD/YY | | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: American Enterprise Investment Services, Inc. | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>0 Broker-dealer<br>D Check here if respondel\t is also an OTC derivati~es dealer | D Security-based swap dealer | □ Major security-based swap participant | | | ADDRESS OF PRINCIPAL f'LACE OF BUSINESS: (Dn not l.lSe a P_Q_ box no.) | | | | | 802 Ameriprise Financial Center, 707 2nd Avenue South | | | | | | (No. and Street) | | | | Minneapolis | MN | | 55474 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Jason Bartylla | 612-671-2041 | | jason.bartylla@ampf.com | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | IN DEPENDENT PUBLIC ACCOUNTANT whose reports are contained in thls filing~<br>Pricewaterhouse Coopers LLP | | | | | | (N~ine-if il'ldividual, state last, fir~t, ;ind middle name) | | | | One North Wacker Dr. | Chicago | IL | 60606 | | !Address) | (City) | (State) | (Zip Code) | | October 20, 2003 | 238 | | | | ( Date of Registration with PCAOB)(if applicable) | | | /PCA08 Registration Nu1nber, If applicable) | | * Claiin, for exemption from the requirement that the annual reports be covered by the reports of an indept>t1tlt>11t public | FOR OFFICIAL USE ONLY | | | accountant must be supported by a ~tatement of facts and circumstances relied on as the basis of t11e e~emptla r1, s~e l 7 CFR…Read the full text as markdown