Full text of CONNING INVESTMENT PRODUCTS, INC.'s X-17A-5 filed 2025-03-27 (period 2024-12-31). 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 Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden ## **ANNUAL REPORTS FORM X-17A-5 PART Ill** SEC FILE NUMBER 8-66444 **FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING 1/1/2024 AND ENDING 12/31/2024 MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: CONNING INVESTMENT PRODUCTS, INC. TYPE OF REGISTRANT (check all applicable boxes): X Broker-dealer Security-based swap dealer Major security-based swap participant □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) ONE FINANCIAL PLAZA (No. and Street) HARTFORD CT (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 06103 (Zip Code) Susan Norton 860-299-2060 susan.norton@conning.com (Name) (Area Code -Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing KPMGLLP (Name - if individual, state last, first, and middle name) ONE FINANCIAL PLAZA HARTFORD CT 06103 (Address) (City) (State) (Zip Code) 10/20/2003 185 (rte of Registration with PCAOB)(if applicable) **FOR OFFICIAL USE ONLY** (PCAOB Registration Number, if applicable) I 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 my knowledge and belief, the financial report pertaining to the firm of Conning Investment Products, Inc. as of December 31, 2024, is true and correct. I further swear (or affirm) that neither the company nor any partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classified solely as that of a customer. | | Subscribed and Sworn to before me, a Notary Signature:<br>\-fl4'+.:4rJ<br>Public, in and for County of | | |--------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------…Read the full text as markdown