Full text of HUB INTERNATIONAL INVESTMENT SERVICES INC.'s X-17A-5 filed 2024-02-29 (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 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | SEC FILE NUMBER | | |-----------------|--| | 8-68237 | | 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 O 1/01/2023 AND ENDING 12/31/2023 MM/DD/YY MM/DD/YY (PCAOB Registration Number, if applicable) I A. REGISTRANT IDENTIFICATION NAME oF FIRM: Hub International Invest Services, Inc TYPE OF REGISTRANT (check all applicable boxes): lel Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer D Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | 9200 Ward Parkway, Suite 500 | | | |------------------------------|--|--| |------------------------------|--|--| | | (No. and Street) | | | |----------------------------------------------|---------------------------------------------------------------------------|------------------------------------|-------| | Kansas City | MO | | 64115 | | (City) | (State) | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Ronald E. Vallow Jr | 312-665-0483 | ronald.vallow@hubinternational.com | | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | Plante & Moran, PLLC | | | | | | (Name-if individual, state last, first, and middle name) | | | | 2601 Cambridge Court | Auburn Hills | Ml | 48326 | (Address) (City) (State) (Zip Code) # **10/20/2003 #00166** **(rte** of Registration with PCAOB)(if applicable) **FOR OFFICIAL USE ONLY** \* 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-5(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}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, Ronald E. Vallow Jr | swear (or affirm) that, to…Read the full text as markdown