Full text of SUN LIFE INSTITUTIONAL DISTRIBUTORS (U.S.) 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}------------------------------------------------ Sun Life Institutional Distributors (U.S.) LLC Statement of Financial Condition December 31, 2022 {1}------------------------------------------------ | | SECURITIES AND EXCHANGE COMMISSION | | OMB APPROVAL | | | |-------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|--------------|----------------------------------------------------------|--------------------------------------------|-----------| | | Washington, D.C. 20549 | | | | | | | | | OMB Number: | | 3235-0123 | | | | | October 31, 2023<br>Expires:<br>Estimated average burden | | | | | | | hours per response | | 12.00 | | | ANNUAL AUDITED REPORT | | | | | | | FORM X-17A-5 | | | SEC FILE NUMBER | | | | | | | | | | | PART III | | | 8-69407 | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | 12/31/202 | | | | | REPORT FOR THE PERIOD BEGINNING 01/01/2022 AND ENDING | | | | | | | | MM/DD/YY | | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION2 | | | | | | NAME OF FIRM: Sun Life Institutional (U.S.) LLC | | | | | | | & Broker-dealer<br>[] Check here if respondent is also an OTC derivatives dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | _Security-based swap dealer | | | | | | One Sun Life Executive Park | (No. and Street) | | | | | | Wellesley Hills | MA | | | 02481 | | | (City) | (State) | | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Brett Lousararian | | 402-499-7869 | | | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | Moss Adams | | | | | | | | (Name - if individual, state last, first, middle name) | | | | | | 999 Third Street, Suite 2800 | Seattle | WA | | 98104 | | | (Address) | (City) | (State) | | (Zip Code) | | | 10/16/2003 | | | | ਦਿੰਦੇ ਹੋ | | | (Date of Registration with PCAOB)(if applicable) | FOR OFFICIAL USE ONLY | | | (PCAOB Registration Number, if applicable) | | e supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable. Persons who are…Read the full text as markdown