Full text of ESL INVESTMENT SERVICES, LLC's X-17A-5 filed 2022-02-22 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | | 0MB APPROVAL | | |------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--| | | | 0MB Number:<br>3235-0123 | | | | | Expires:<br>October 31, 2023<br>Estimated average burden | | | | | hours per response<br>12.00 | | | AUDITED<br>REPORT | | | | | FORM<br>X-17A-S | | SEC FILE NUMBER | | | PART<br>Ill | | 8-67195 | | | FACING PAGE | | | | | | | | | | 01/01/2021 AND ENDING | 12/31/2021 | | | | MM/DD/VY | | MM/DD/VY | | | A. REGISTRANT | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | (No. and Street) | | | | | NY | | 14604-2424 | | | (State) | | (Zip Code) | | | | | | | | | | 212-751-4422 | | | (Area Code-Telephone Number) | | IEmall Address) | | | B. ACCOUNTANT | | | | | whose opinion is contained in this | | | | | | | | | | | | | | | | | 97205 | | | (City) | (State) | (Zip Code) | | | | | 659 | | | | | (PCAOB Registration Number, if applicable) | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | UNITED STATES<br>SECURITIES AND EXCHANGE<br>Washington, D.C. 20549<br>ANNUAL<br>Information Required Pursuant to Rules 17a-5, 17a-12, and<br>REPORT FOR THE PERIOD BEGINNING<br>Services, LLC<br>all applicable boxes):<br>Security-based swap dealer<br>D Check here if respondent is also an OTC derivatives dealer<br>OF BUSINESS: (Do not<br>use P.O. Box No.)<br>REGARD TO THIS FILING<br>INDEPENDENT PUBLIC ACCOUNTANT<br>Portland | COMMISSION<br>18a-7 under the Securities Exchange Act of 1934<br>IDENTIFICATION<br>Major security-based swap participant<br>IDENTIFICATION<br>Report*<br>(Name- if individual, state last, first, middle name)<br>OR | | supported by a statement offacts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. **Persons who are to respond to the collection of information contained in this form are not requir…Read the full text as markdown