Full text of CONNING INVESTMENT PRODUCTS, INC.'s X-17A-5 filed 2026-03-31 (period 2025-12-31). 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** > **ANNUAL REPORTS FORM X-17A-S PART Ill** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 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 _--=l/"""1"-'/2=0=2=-5 | _____<br>MM/DD/VY | AND ENDING 12/31/2025<br>MM/DD/VY | | | | | | |--------------------------------------------------------------------------|------------------------------------------------------------------------------|---------------------------------------|--|--|--|--|--| | A. REGISTRANT IDENTIFICATION | | | | | | | | | | | | | | | | | | NAME OF FIRM: CONNING INVESTMENT PRODUCTS. INC. | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | | | | X Broker-dealer<br>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<br>CT<br>06103 | | | | | | | | | (City) | (Zip Code) | | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | 860-299-2060 | | | | | | | | | Susan Norton<br>(Name) | susan.norton@conning.com<br>(Area Code -Telephone Number)<br>(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) | | | | | | | | | | | | | | | | | TWO MANHATTAN WEST, 375 NINTH A VENUE | NEWYORK | NY<br>10001 | | | | | | | (Address) | (City) | (State)<br>(Zip Code) | | | | | | | 10/20/2003 | | #185 | | | | | | | rte of Re~straUo, w;th PCAOB)I• applkable) | | | | | | | | 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 In…Read the full text as markdown