Full text of CONNING INVESTMENT PRODUCTS, INC.'s X-17A-5 filed 2020-03-02 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 0MB APPROVAL 0MB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours oerresoonse ...... 12.00 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** SEC FILE NUMBER **B-66444** **FACING PAGE Information Reqnired of Brokers and Dealers Pursuant to Section 17 of the Secnrities Exchange Act of 1934 and Rule 17a-5 Therennder** | REPORT FOR THEPERIODBEGINNINGO1/01/2O19 | | AND ENDING 12/31/2019 | | | |----------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|-----------------------|-------------------------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: Conning Investment Products, Inc. | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | One Financial Plaza | | | | | | | (No. and Street) | | | | | Hartford | CT | | 06103-2627 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Thomas Forella | | | {860)299-2167<br>(Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>PricewaterhouseCoopers, LLP | | | | | | | (Name - if individual, slate last, first, middle name) | | | | | 185 Asylum Street | Hartford | CT | 06103 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE:<br>lcertified Public Accountant<br>Public Accountant<br>Accountant not resident in United States or any of its possessions. | FOR OFFICIAL USE ONLY | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17 a-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 0MB control number.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, Jung Lee | , swear ( or affirm) that, to the best of | |-----------------------------------------------------------…Read the full text as markdown