Full text of ALLY INVEST SECURITIES LLC's X-17A-5 filed 2022-02-28 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ OMB APPROVAL UNITED STATES OMB Number: 3235-0123 SECURITIES AND EXCHANGE COMMISSION Expires: Oct. 31, 2023 Washington, D.C. 20549 Estimated average burden hours per response: 12 ANNUAL REPORTS SEC FILE NUMBER FORM X-17A-5 8-66982 PART III 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 01/01/2021 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: Ally Invest Securities LLC TYPE OF REGISTRANT (check all applicable boxes): � Broker-dealer O Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 601 S. Tryon Street (No. and Street) North Carolina Charlotte 28202 (State) (Citv) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Alex Martin alex.martin@invest.ally.com (Name) (Area Code - Telephone Number) (Email Address) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Deloitte & Touche (Name - if individual, state last, first, and middle name) 200 Renaissance Center Suite 3900 Detrioit 48243 Michigan (Address) (City) (State) (Zip Code) (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable) FOR OFFICIAL USE ONLY \* Claims for exemption from the requirement that the annual reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e){1)(ii), if applicable. 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 OMB control number. {1}------------------------------------------------ #### OATH OR AFFIRMATION I, Alex Martin , swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of \_ Ally Invest Securities LLC as of 2 021, is true and correct. I further swear (or affirm) that neither the company nor any December 31 partner, officer, director, or equivalent person, as the case may proprietary interest in any account classified solely as that of a customer. Angela Wright Notary Public Mecklenburg County, NC My Commission Expires 01/28/23 Signature: Title· C Principal Financial Officer Notary Public #### This filing \*\* contains (check all applicable boxes): - (a) Statement of financia…Read the full text as markdown