Full text of ESL INVESTMENT SERVICES, LLC's X-17A-5 filed 2020-03-02 (period 2019-12-31). 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: August 31, 2020 Estimated average burden hours per response ... , .. 12.00 ## **ANNUAL AUDITED REPORT FORM X-17A·5 PART Ill** | SEC FILE NUMBER | |-----------------| | 8-67195 | FAC1NG PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | | REPORT FOR THE PERIOD BEGINNING 01/01/19<br>12/31/<br>19 ~~~~~~<br>AND ENDING ~~~<br>~~ | | | | |-------------------------------------------------------------------|-----------------------------------------------------------------------------------------|---------|--------------------------------|--| | | MMIDD/YY | | MMfDDIYY | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME oF BROKER-DEALER: ESL Investment Services, LLC | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM l.D. NO. | | | 225 Chestnut Street | | | | | | | (No and Street) | | | | | Rochester | NY | | 14604-2424 | | | (City) | (Sta te) | | (Zip Codll) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT JN REGARD TO Tll1S REPORT | | | | | Pascal Roche | | | 212-751-4422 | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | Moss Adams LLP | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | (Name - if individual, state la.rt, flr.rl, middle name) | | | | | | 4747 Executive Drive, Ste 1300 San Diego<br>~~~~~~~~~~~~~~~~~~~~~~~~~~~- | CA | 92121 | | | (Addre~~) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | /'I<br>Certified Public Accountant | | | | | | J<br>O<br>Publ<br>ic Accountant | | | | | | | | | | | | D | Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240. l 7a-5(e)(2)* > Potential persons who are to respond to the collectlon of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. SEC 1410 (11-05} {1}------------------------------------------------ #### **OA…Read the full text as markdown