Full text of ESL INVESTMENT SERVICES, LLC's X-17A-5 filed 2024-02-27 (period 2023-12-31). 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: Nov. 30, 2026 | | 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 **01/01/2023** MM/DD/VY AND ENDING **12/31/2023** MM/DD/VY **A. REGISTRANT IDENTIFICATION** ### NAME oF FIRM: ESL Investment Services, LLC TYPE OF REGISTRANT (check all applicable boxes): C!:l Broker-dealer D Security-based swap dealer □ Major security-based swap participant D 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 | | (City} | (State) | | (Zip Code} | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Pascal Roche | 212-751-4422 | proche@dfppartners.com | | | (Name) | (Area Code - Telephone Number} | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | Moss Adams, LLP | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | (Name- if individual, state last, first, and middle name) | | | | 805 SW Broadway, Suite 1200 Portland | | OR | 97205 | | (Address) | (City) | (State} | (Zip Code) | | | | 659 | | | rt, of ,,.,u,t;o, with PCAOB)(• | appUcabl•) FOR OFFICIAL USE ONLY | | (PCAOB ,,.,,.,;a, N,mbec, • appllcabl,)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 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 required to respond unless the form displays a currently valid 0MB control number, {1}------------------------------------------------ ~-\<.. <lf **NQ,l,sl j.,,,-%:..\_** ~S.!:.: ~~~~s **OATH OR AFFIRMATION** | I, Leo Iacobelli | | | | sw…Read the full text as markdown