Full text of ALLY INVEST SECURITIES LLC's X-17A-5 filed 2023-02-28 (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 APPROVAL | |---------------------------| | OMB Number: 3235-0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response:<br>12 | | | · Print Cours 8-66982 ### ANNUAL REPORTS FORM X-17A-5 PART III FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | siling for the period beginning 01/01/22 | | | AND ENDING 12/31/22 | | |------------------------------------------|----------|--|---------------------|--| | | 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 [ ] 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 Tryon Street | | (No. and Street) | | | |---------------------------------------------------------------|---------------------------------------------------------------------------|-----------------|--------------------------------------------| | Charlotte | NC | | 28202 | | (City) | (State) | | (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 | | | | | 1001 Woodward, Suite 700 | (Name - if individual, state last, first, and middle name)<br>Detroit | M | 48226 | | | (City) | (State) | (Zip Code) | | 10/20/2003 | | 34 | | | (Address)<br>(Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | | | | \* 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 the best of my knowledge and belief, the financial report pertai…Read the full text as markdown