Full text of OSAIC INSTITUTIONS, INC.'s X-17A-5 filed 2025-02-25 (period 2024-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | Registration PCAOB) (if applicable) | (PCAO Registration | ,applicable) | | |-------------------------------------|--------------------|--------------|--| | | | | | | | | | | {1}------------------------------------------------ SESTIAGA Notary Public- State of Arizona MARICOPA COUNTY Commission # 658410 Expires October 19, 2027 Danafidtiaga # applicable - - - - - - - - - - - - - - - - - - - - - - - - - - - {2}------------------------------------------------ #### STATEMENT OF FINANCIAL CONDITION AND RELATED NOTES Osaic Institutions, Inc. (SEC File Number 8-46661) (An indirect wholly owned subsidiary of Osaic Holdings, Inc.) December 31, 2024 With Report of Independent Registered Public Accounting Firm {3}------------------------------------------------ # **Osaic Institutions, Inc. (An indirect wholly owned subsidiary of Osaic Holdings, Inc.) Table of Contents December 31, 2024** | | Page | |---------------------------------------------------------|------| | Report of Independent Registered Public Accounting Firm | 1 | | Financial Statement | | | Statement of Financial Condition | 2 | | Notes to Financial Statement | 3 | {4}------------------------------------------------ #### GLOSSARY Certain terms and abbreviations used throughout this report are defined below. | Term or abbreviation | Definition | |--------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------| | ASC | Accounting Standards Codification | | ASU | Accounting Standards Update | | CODM | Chief Operating Decision Maker | | FASB | Financial Accounting Standards Board | | FINRA | Financial Industry Regulatory Authority | | GAAP | Generally Accepted Accounting Principles | | Net Capital Rule | SEC Uniform Net Capital Rule 15c3-1 under the Securities Exchange Act of<br>1934, which requires the maintenance of minimum net capital | | OFSI | Osaic Financial Services, Inc. | | OIH | Osaic Institutions Holdings, Inc. | | OSA | Osaic, Inc. | | OSHI | Osaic Holdings, Inc. | | PAB | Proprietary account of a broker-dealer | | SEC | Securities and Exchange Commission | | Strategic Partnership Sponsors | Third-party investment and insurance companies for which the Company<br>provides marketing services for their advisory, insurance and brokerage products | | U.S. | United States of America | {5}---------------------------------------…Read the full text as markdown