Full text of ARIEL DISTRIBUTORS, LLC'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}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION** Washington, D.C. 20549 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 ## **ANNUAL REPORTS FORM** X-17A-S **PART** Ill **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and lSa-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **01 /01/23** AND ENDING **12/31 /23** MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** ## NAME oF FIRM: Ariel Distributors, LLC TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer D Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) ## 200 East Randolph Street, Suite 2900 | 60601 | | | | | | |------------------------------------------------------------|--|--|--|--|--| | (Zip Code) | | | | | | | | | | | | | | ccalderon@arielinvestments.com | | | | | | | | | | | | | | | | | | | | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | 60606 | | | | | | | (Zip Code) | | | | | | | | | | | | | | (PCAOB R,g;stcafoo N,mbec, ;f appUcable)I | | | | | | | | | | | | | | | | | | | | \* Claims for exemption from the requirement that the annual reports be covered by the 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-S(e)(l)(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 0MB control number.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | L. | Carlos Calderon | |----|-----------------| | | | I, \_c\_a\_rlo\_s\_c\_a\_ld\_e\_ro\_n \_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_, swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of Ariel Distributors, LLC as of **\_1\_2\_/\_3\_1 \_\_\_\_\_\_\_\_\_\_\_** ~ 2~ is true and correct. I further swear (or affirm) that neither the company nor any partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classified solely as that of a customer.  | s;gnatu,~ | | |-----------|--| | | | Title: Vice President-Financ…Read the full text as markdown