# CONNING INVESTMENT PRODUCTS, INC. X-17A-5 (2021-03-01) — Broker-dealer annual report

- Company: CONNING INVESTMENT PRODUCTS, INC.
- Form: X-17A-5
- Filed: 2021-03-01
- Period: 2020-12-31
- Accession: 0001285921-21-000001
- CIK: 1285921
- File #: 8-66444
- Material weakness: No
- Auditor: PricewaterhouseCoopers, LLP
- Auditor location: Hartford, CT
- Contact: Ken George
- Phone: 6033805435
- Signed by: Jung Lee (CFO)

Original filing: https://www.sec.gov/Archives/edgar/data/1285921/000128592121000001/dec20_audit_conning_bs2.pdf

---

{0}------------------------------------------------

## **CONNING INVESTMENT PRODUCTS, INC. STATEMENT OF FINANCIAL CONDITION AT DECEMBER 31, 2020**

|                           | 2020          |  |
|---------------------------|---------------|--|
| ASSETS                    |               |  |
| Assets:                   |               |  |
| Cash and cash equivalents | \$<br>665,204 |  |
| Accounts receivable, net  | 100,048       |  |
| Due from affiliate        | 7,170         |  |
| Income tax receivable     | 115,706       |  |
| Prepaid expenses          | 22,633        |  |
| Total assets              | 910,761       |  |

## LIABILITIES AND SHAREHOLDER'S EQUITY

| Liabilites:                            |              |
|----------------------------------------|--------------|
| Due to affiliates                      | \$<br>77,154 |
| Income taxes payable                   | 4,146        |
| Other liabilities and accrued expenses | 66,773       |
| Total liabilities                      | 148 073      |

| Common stock, \$.01 par value: 1,000 shares authorized, issued and |               |
|--------------------------------------------------------------------|---------------|
| outstanding                                                        | 10            |
| Additional paid in capital                                         | 832,108       |
| Accumulated deficit                                                | (69,430}      |
| Total shareholder's equity                                         | 762,688       |
| Total liabilities and shareholder's equity                         | \$<br>910,761 |


Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.