Full text of FIS BROKERAGE & SECURITIES SERVICES LLC's X-17A-5 filed 2024-02-26 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ FIS Brokerage & Securities Services LLC Statement of Financial Condition December 31, 2023 With Report of Independent Registered Public Accounting Firm Thereon {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # ANNUAL REPORTS FORM X-17A-5 PART III | OMB APPROVAL | |---------------------------| | OMB Number: 3235-0123 | | Expires: Nov. 30, 2026 | | Estimated average burden | | hours per response:<br>12 | SEC FILE NUMBER 8-52614 FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 AND ENDING 12/31/2023 Filing for the period beginning 1/1/2023 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: FIS Brokerage & Securities Services LLC TYPE OF REGISTRANT (check all applicable boxes): Security-based swap dealer \_ \_ Major security-based swap participant Broker-dealer □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 270 Remington Boulevard, Suite A (No. and Street) Bolingbrook 60440 (State) (Zip Code) (City) PERSON TO CONTACT WITH REGARD TO THIS FILING David Cole (630) 760-5620 david.cole@fisglobal.com (Email Address) (Area Code - Telephone Number) (Name) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* KPMG IIIP (Name – if individual, state last, first, and middle name) 200 E Randolph Street Chicago 60601 (Address) (City) (State) (Zip Code) 10/20/2003 185 (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable) FOR OFFICIAL USE ONLY \* Claims for exemption from the requirement that the annual 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 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 OMB control number. CFR 240.17a-5(e)(1)(ii), if applicable. {2}------------------------------------------------ #### OATH OR AFFIRMATION | | David Cole | | |----|------------|--| | 1. | | | \_ swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of FIS Brokerage & Securities Services LLC as of 12/31 , 2023 partner, officer, director, or equivalent person,…Read the full text as markdown