Full text of OCM INVESTMENTS, LLC's X-17A-5 filed 2021-03-29 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE CONIMISSION Washington, D.C. 20549 ## ANNUAL AUDITED REPORT FORM X-17A-5 PART III OMB APPROVAL OMB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response. 12.00 ## SEC FILE NUMBER 8-66176 FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING 01/01/20 | | AND ENDING 12/31/20 | | | |-----------------------------------------------------------------------------------------------|--------------------------------------------------------|---------------------|---------------------------------|--| | | MM DD YY | | MM DI)<br>YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: OCM Investments, LLC | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | 333 South Grand Avenue, 28th floor | | | | | | | (No. and<br>Street) | | | | | Los Angeles | CA | | 90071 | | | (City) | (State) | | (Zip ('ode) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>John B. Edwards | | | (213) 830-6229 | | | | | | (Area Code<br>Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>Ernst & Young LLP | (Name - if individual. state lust, first, middle name) | | | | | 725 South Figueroa Street | Los Angeles | CA | 90017 | | | (Address) | (City) | (State) | (Zip ('ode) | | | CHECK ONE: | | | | | | Public Accountant<br>Public Accountant<br>Accountant not resident in United Stales or any | f | its possessions. | | | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | \*Claims for exemption from the requirement that the annual report he covered by the opinion of an independent public accountant must he supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(e)(2) > Potential 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. SEC 1410 (11-05) {1}------------------------------------------------ #### OATH OR AFFIRMATION | | , swear (or affirm) that, to the best of<br>my knowledge and belief the accompanying financial statement and supporting schedules pertain…Read the full text as markdown