Full text of PLAN B INVESTMENTS, INC.'s X-17A-5 filed 2024-03-22 (period 2023-12-31). 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 APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill SEC FILE NUMBER 8-66978 **FACING PAGE** **Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING JANUARY 1, 2023 AND ENDING DECEMBER 31<br>MM/DD/YY<br>MM/DD/YY<br>A. REGISTRANT IDENTIFICATION<br>____<br>_____<br>P_L_A_N_B_I_N_V_E_S_T_M_E_N_T_S_, _I N_C<br>NAME OF FIRM:<br>TYPE OF REGISTRANT (check all applicable boxes):<br>□ Major security-based swap participant<br>~ Broker-dealer<br>□ Security-based swap dealer<br>D Check here if respondent is also an OTC derivatives dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.)<br>13770 CENTER STREET SUYITE 206<br>(No. and Street)<br>CARMEL VALLEY<br>CA<br>93924<br>(City)<br>(State)<br>(Zip Code)<br>PERSON TO CONTACT WITH REGARD TO THIS FILING | ,2023<br>_ | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 818-859-7300<br>MARTIN P. O'MALLEY, JR.<br>MPO@PLANBII.COM | | | (Name)<br>(Area Code - Telephone Number)<br>(Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | OHAB AND COMPANY, PA | | | (Name - if individual, state last, first, and middle name) | | | FL<br>32751<br>100 E SYBELIA AVE, SUITE 130 MAITLAND | | | (Address)<br>(City)<br>(State)<br>(Zip Code) | | | JULY 28, 2004<br>1839 | | | l"<br>)PCAOB Reg;,1ca1;0, N,mbec, ;f appUrable) I<br>of Reg;w,uoa w;th PCAOBJ(;f appUcable) | | | FOR OFFICIAL USE ONLY | | \* Claims for exemption from the requirement that the annual…Read the full text as markdown