Full text of M3 INVESTMENT GROUP 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 OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # ANNUAL REPORTS FORM X-17A-5 PART III | | SEC FILE NUMBER | |--|-----------------| | | | #### FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FILING FOR THE PERIOD BEGINNING | 01/01/2023 | AND ENDING | 12/31/2028 | | | | |-------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------|-----------------|--------------------------------------------|--|--|--| | | MM/DD/YY | | MM/DD/YY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | M3 Investment Group LLC<br>NAME OF FIRM: | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>ت Broker-dealer<br>O Check here if respondent is also an OTC derivatives dealer | Security-based swap dealer | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 150 South Wacker Drive, Suite 3100 | | | | | | | | | (No. and Street) | | | | | | | Chicago | = | | 60606 | | | | | (City) | (State) | | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Donald E. Suter | 312-499-8500 | | dsuter@m3ig.com | | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | | 8. ACCOUNTANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filling* | | | | | | | PricewaterhouseCoopers LLP | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | One North Wacker Drive | Chicago | = | 60606 | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | October 20, 2003 | | 238 | | | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | 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. {1}------------------------------------------------ ### OATH OR AFFIRMATION I, Donald E. Suter financial report pertaining to the firm of M3 Investment Group LLC as o…Read the full text as markdown