Full text of OSAIC INSTITUTIONS, INC.'s X-17A-5 filed 2024-02-28 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Public UNITEDSTATES SECURITIES AN D EXCHANGE COMMISSION Washington, D.C.20549 ANNUAL REPORTS FORM X-17A-5 PART III OMR APDRNVAI OMB Number 3235-0123 Expires: Nov.30,2026 Estimated average burden hours per response: l2 SEC FILE NUMBER 8-46661 FACING PAGE lnformation Required Purcuant to Rules 17a-5, t7a-t2, and 18a-7 under the Securities Exchange Act of 19i14 FTLTNG FoRTHE pERroD BEGTNNTNG 0110112023 AND ENDTNG 1213112023 MM/DD/YY MM/DD/YY A. REGISTRANT I DENTIFICATION NAME oF F,RM: Osaic lnstitutions, lnc. TYPE OF REGISTRANT (check all applicable boxes): El Broker-dealer fl Security-based swap dealer E tvtajor security-based swap participant E Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 538 Preston Avenue Meriden (No. and Street) CT 06450 (City) (statel PERSON TO CONTACTWITH REGARD TO THIS FILING John Koth (203) 599-6015 (Zip Code) john.koth@osaic.com (Name) (Area Code - Telephone Number) (Email Address) B. ACCOUNTANT I DENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Deloitte & Touche LLP (Name - if individual, state last, first, and middle name) <sup>100</sup>S Mill Ave #1800 Tempe AZ <sup>85281</sup> (Address) 1012012003 (city) {5tate) (Zip Code) 34 (Date of n with if PCAOB Number if \* Claims for exemption from the reguirement that the annual reports be covered by the reports of an independent public FOR OFFICIAL USE ONIY 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(eX lXii), if applicable. Persons who ale to respond to the collectlon of lnformatlon contalned ln thls form are not required to rerpond unless the form dlsplays a currently vald OMB control number. {1}------------------------------------------------ ## OATH ORAFFIRMATION | l, John Koth | | , swear (or affirm) that, to the best of my knowledge and belief, the | |-----------------------------|----------------------------------------|-----------------------------------------------------------------------| | financial report pertaining | tO the firm Of Osaiclnstitutions, lnc. | 6s g; | 12131 2023 . is true and correct. lfurther swear (or affirm) that neither the company nor any partner, officer, director, or as that of a customer. equivalent person, as the case may be, has any proprietary inte in any account classified solely ![](_page_…Read the full text as markdown