Full text of INVESTSHARES LLC's X-17A-5 filed 2022-03-31 (period 2021-12-31). 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: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | SEC FILE NUMBER | | |-----------------|--| | 8-68365 | | **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\_l/\_O\_l\_/2\_1 \_\_ AND ENDING \_\_\_\_ 12\_f\_3l\_f\_<sup>2</sup> \_ 1 \_\_ MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: \_\_\_\_ l\_n\_ve\_s\_t\_S\_ha\_r\_e\_s,\_L\_L\_C \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_ TYPE OF REGISTRANT (check all applicable boxes): IXI Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 701 Brickell Ave., Suite 1550 Miami (City) (No. and Street) Florida (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 33131 (Zip Code) Michael Goggins 305 350-2100 investshares.com (Name) (Area Code -Telephone Number} (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Thomas Faust, CPA, LLC d/b/a Thomas Faust, CPA 174 Coldbrook Ct. (Address) 2/14/2018 {Name - if individual, state last, first, and middle name) Lafayette (City) Indiana (State) 6479 47909 (Zip Code) **(rt•** of Registration with PCAOB)lif applicable) **FOR OFFICIAL USE ONLY** (PCAOB Registration Number, if applicable) 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)ll)(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** | | J. Go tf<br>. swear (or affirm) that, to the best of my knowledge and belief, the<br>I, /JJ/c /2JaL<br>t,:-;r:,,v .[ | | | |-------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------…Read the full text as markdown