Full text of AEL FINANCIAL SERVICES, LLC's X-17A-5 filed 2023-03-31 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES | | OMB APPROVAL | | | | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------|----------------------------------------------------|--------------------------------------------|--|--|--|--| | | OMB Number: 3235-0123<br>Expires: Oct. 31, 2023 | | | | | | | | | SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | | | | | | | | | Estimated average burden<br>hours per response: 12 | | | | | | | | ANNUAL REPORTS | | | | | | | | | FORM X-17A-5 | | 8-70298 | | | | | | | PART III | | | | | | | | | | | | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | | | ______________________________________________________________________________________________________________________________________________________________________________<br>filing for the period beginning U5/01/22 | | | | | | | | | | MM/DD/YY | | MM/DD/YY | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | | | | | | | | NAME OF FIRM: AEL Financial Services. LLC | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | | | | ള Broker-dealer | | | | | | | | | C Check here if respondent is also an OTC derivatives dealer | | | | | | | | | | | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | | 2101 Rexford Road, Suite 310 | | | | | | | | | | (No. and Street) | | | | | | | | Charlotte | NC | | 28211 | | | | | | (City) | (State) | | (Zip Code) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | Susan Hayes | (609) 642-6593<br>shayes@pattentraining.com | | | | | | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | | Armanino LLP | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | | 6 CityPlace Dr., Suite 900 | St. Louis | MO | 63141 | | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | | 10/20703<br>32 | | | | | | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Reg…Read the full text as markdown