Full text of CU INVESTMENT SOLUTIONS LLC's X-17A-5 filed 2024-12-19 (period 2024-09-30). 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** **ANNUAL REPORTS FORM X-17A-5** | 0MB APPROVAL | |---------------------------| | 0MB Number: 3235.-0123 | | Expires: Nov.-30, 2026 | | Estim~ted average burden | | hours per response:<br>12 | # SEC FILfNLiMBER a-01-50400 **FACING PAGE** **PARTIII** **Information Required Pursuant to Rules Ua-5; 17a-12,. and lSa-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING tQ/01 /2023 | AND ENDING 09/30/2024 | | |---------------------------------------------|-----------------------|--| | MM/DD/YY | MM/DD/VY' | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: CU Investment Solutions, LLG | | | TYPE OF REGISTRANT (check all applicable boxes): GiJ Broker-dealer [J Security-based swap dealer D Majorsecurity~based swap participant 'J Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) #### 8500 W. 110th Street, Suite 650 | | (No. and Street) | | | |-------------------------------------------------|---------------------------------------------------------------------------|-----------------|--------------------------------------------| | Overland Park | KS | | 66210 | | (City) | {State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TOTH!S HU NG | | | | | Matthew Jackson | 913'-912-5235 | | mjackson@cu-isi.org | | {Name) | (Area Code-Telephone Number) | {Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | Forvis Mazars, LLP | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | (Name - ifindividual, state last, first, and middle name) | | | | | 1201 Walnut Street, Suite 1700 Kansas City | MO | 64106 | | {Address) | (City) | (State) | {Zip tode) | | 10/16/2003 | | 686 | | | rte of Registcati,o with PCAOB )(if applicable) | | | (PCAOB Reglstcatioo Nombec, if applicahlel | | | FOR OFFICIAL USE ONLY | | | \* Claims for exempt ion from the .requirement that the an nu al reports be covered by the reports ob n independent public - accountant must be supported· by a statement of facts and circumstances relied on as the. basis of the exem ptioii. See 17 CF.R 240.17a-S(e)(l)(ii), if applicable. **Persons who are to respond to the coUection of i11formation contained inthis form are not required to responp unless the form displays a currently valid 0MB control number.** {1}---------------------------------------…Read the full text as markdown