Full text of ESL INVESTMENT SERVICES, LLC's X-17A-5 filed 2023-02-27 (period 2022-12-31). 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 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE **NUMBER** 8-67195 **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 1/01/2022** AND ENDING **12/31/2022** MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: ESL Investment Services, LLC TYPE OF REGISTRANT (check all applicable boxes): [!] Broker-dealer D Security-based swap dealer D 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.) ## 225 Chestnut Street | | (No. and Street) | | | |---------------------------------------------------------------------------|------------------------------------------------------------|-----------------|---------------------| | Rochester | NY | | 14604-2424 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Pascal Roche | 212-751-4422 | | | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | B. ACCOUNTANT IDENTIFICATION | | | | Moss Adams, LLP | (Name - If individual, state last, first, and middle name) | | | | 805 SW Broadway, Suite 1200 | Portland | | | | | (City) | OR<br>(State) | 97205<br>(Zip Code) | | (Address)<br>r | | 659 | | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by ;:i st;itament affects and circumstances relied 011 d~ the basis of the exemption. See 17 CFR 240.17a-5(e)(l)(il), 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** | | swear (or affirm) that, to the best of my knowledge and belief, the<br>I, Leo Iacobelli | | | | | | |-----|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------…Read the full text as markdown