Full text of ESL INVESTMENT SERVICES, LLC's X-17A-5 filed 2021-02-26 (period 2020-12-31). 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** 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response ...... 12.00 0MB APPROVAL ## **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | SEC FILE NUMBER | |-----------------| | 8-67195 | **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | | ---<br>REPORT FOR THE PERIOD BEGINNING 01/01/20<br>AND ENDING 12/31/20 | | ------- | | |--------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------|---------|------------------------------------|--| | | MM/DD/YY | | -<br>MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: ESL Investment Services, LLC<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | OFFICIAL USE ONLY<br>FIRM I.D. NO. | | | | | | | | | 225 Chestnut Street | | | | | | | (No. and Street) | | | | | Rochester | NY | | 14604-2424 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Pascal Roche | | | (212) 751-4422 | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | Moss Adams, LLP | | | | | | | (Name - if individual, state last, first, middle name) | | | | | 4 7 4 7 Executive Drive, Ste 1300 San Diego | | CA | 92121 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | I<br>I<br>yf<br>Certified Public Accountant | | | | | | DPublic Accountant | | | | | | | DAccountant 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. I* 7 *a-5(e)(2)* > **Potential 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.** SEC 1410 (11-05) {1}----------------------------------------…Read the full text as markdown