Full text of ALLY INVEST SECURITIES LLC's X-17A-5 filed 2024-02-28 (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** ### **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 | 8-66982 **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 **Q 1 /Q 1 /23** AND ENDING **12/31 /23** MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICAT-tON** # NAME oF FIRM: Ally Invest Securities LLC TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer D Security-based swap dealer 0 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.) ### 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)<br>(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) | | | |--------------------------|------------------------------------------------------------|--------------------|------------------------| | 1001 Woodward, Suite 700 | Detroit | Ml | 48226 | | (Address) | (City) | (State) | (Zip Code) | | 10/20/2003 | | 34 | | | | | ''""""°"<br>{PCAOB | N,mbec, if applicable{ | | | FOR OFFICIAL USE ONLY | | | • Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of t he exemption. See 17 CFR 240.17a-5(e)(l)(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 0MB control number. {1}------------------------------------------------ | | OATH OR AFFIRMATION | | | |--------|---------------------------------------------------------------------------------------------------------------------------------…Read the full text as markdown