Full text of PLAN B INVESTMENTS, INC.'s X-17A-5 filed 2023-03-23 (period 2022-12-31). 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 | OMB Number: 3235-0123 | |--------------------------| | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response: 12 | | | | SEC FILE NUMBER | # ANNUAL REPORTS FORM X.L7A-5 PART III | 8-66978 | | |---------|--| FACING PAGE | lnformation Required Pursuant to Rules l7a-5, l7a-12, and lEa-7 under the Securities ExchanF Act of 1934 | | | | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------|-----------------|---------------------------------|--| | FtLtNG FOR rHE pERtOD BEG NNING JANUARY 1' 20212 AND<br>DECEMBER 31 '2022 | | | | | | | MM/DD/YY | ENDTNG | MM/DD/YY | | | | A. REGISTRANT I DENTI FICATION | | | | | NAME OF FIRM: | PLAN B INVESTMENTS, INC | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>E Broker-deater E Security-based swap dealer ! Major slcurity-based swap participant<br>E Check here if respondent is also an OTC derivatives dealer | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 13770 CENTER STREET SUYITE 206 | | | | | | | (No. and Street) | | | | | | CARMEL VALLEY CA | | 93924 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | MARTIN P. O'MALLEY, JR. 818.859.7300 | | | MPO@PLANBII.COM | | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | | B. ACCOU NTANT I DENTI FICATION | | | | | INDEPENDENT PUBLIC AccouNTANT whose reports are contained in this filing*<br>OHAB AND COMPANY, PA | | | | | | | (Name- if individual, state last, first and middle name) | | | | | 1OO E SYBELIA AVE, SUITE 130 MAITLAND | | FL | 32751 | | | (Address) | (City) | (State) | (Zip Code) | | | JULY 28,2004 | | 1839 | | | | Date of Registration with PCAOB | | | stration Number, if applicable) | | | *Claimsforexemptionfromtherequirementthattheannualreportsbecovereduvih@ | FOR OFFICIAL USE ONLY | | | | accountant must be supported by a statement of facts and circumstances relied on as the basls of the exemptlon. See 17 CFR 240.17a-5(eXlXii), if applicable. Persons who are to respond to the collectlon of information contained ln thls form are not required to respond untess the form displays a currently valid…Read the full text as markdown