Full text of NAVY FEDERAL INVESTMENT SERVICES, LLC's X-17A-5 filed 2022-03-01 (period 2021-12-31). 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-5 PART Ill FACING PAGE** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-67161 **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING 01/01/21 AND ENDING 12/31/21 ---------- ----------- MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: Navy Federal Brokerage Services, LLC TYPE OF REGISTRANT (check all applicable boxes): [Kl Broker-dealer □ Security-based swap dealer □ Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 1007 Electric A venue (No. and Street) Vienna VA (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 22180 (Zip Code) Tim Rosson 571-422-1591 timothy \_rosson@navyfederal.org (Name) (Area Code-Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Pricewaterhousecoopers, LLP (Name - if individual, state last, first, and middle name) 300 Madison Avenue New York NY 10017 (Address) (City) (State) (Zip Code) 10/20/03 238 **(rt• of Registration with PCAOB)(~ applicable) FOR OFFICIAL USE ONLY** {PCAOB Registration Number, if applicable) I \* 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 the exemption. See 17 **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.** CFR 240.17a-S(e)(l)(ii), if applicable. {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | Diane Young<br>I, | , swear (or affirm) that, to the best of my knowledge and belief, the | | |--------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------|-------------------| | financial report pertaining to the firm of | Navy Federal Brokerage Services, LLC | , as…Read the full text as markdown