Full text of ARES WEALTH MANAGEMENT SOLUTIONS, LLC's X-17A-5 filed 2022-04-04 (period 2021-12-31). 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: Oct. 31, 2023 **E** sti milted ave rilge burden hours per response: 12 ## **ANNUAL REPORTS FORM X-17A-5 PART Ill** | SEC Fl LE NUMBER | | |------------------|--| 8-65199 **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and lBa-7 under the Securities EKchange Act of 1934** | FILING FOR THE PERIOD BEGINNING 01101121 | ---------- | AND ENDING 12131121 | ----------- | |--------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------|-----------------------------------------|--------------------------------------------| | | MM/DD/YY<br>MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: ARES WEALTH MANAGEMENT SOLUTIONS, LLC | | | | lYPE OF REGISTRANT (check all applicable boxes):<br>ii Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | O Security-based swap dealer | D Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | 518 17TH STREET, 12TH FLOOR | | | | | | (No. and Street) | | | | DENVER | co | | 80202 | | (City) | (State) | | {Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | MICHAEL T MARRONE | 646-930-1906 | | MMARRONE@-CW@ARES~ | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | KPMG, LP | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | (Name - if individual, state last, first, and middle name) | | | | 1225 17TH ST. STE 800 | DENVER | co | 80202 | | (Address) | (City) | (State) | (Zip Code) | | 10/20/2003 | 185 | | | | l"<br>of Registcatioc with PCAOB)(if applicable) | | | (PCAOB Reglstcatioc Nombec, if applicable) | \* Claims for exemption from the req ui reme nt that the a nnua I re ports 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(el(l}(ii). if applicable. Persons who c1re to respond to the collection of informc1tion contc1ined in this form c1re not required to respond unless the form displc1ys c1 currently valid 0MB control number. {1}--------------------…Read the full text as markdown