Full text of M1 FINANCE LLC's X-17A-5 filed 2024-07-19 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## M1 Finance LLC (SEC I.D. No 8-69670) ## Statement of Financial Condition As of December 31, 2023 And Report of Independent Registered Public Accounting Firm \*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\* This report is filed pursuant to Rule 17a-5(e)(3) under the Securities Exchange Act of 1934 as a Public Document. {1}------------------------------------------------ # M1 Finance LLC ## Table of Contents | Facing<br>Page<br>–<br>Annual<br>Audited<br>Report<br>Form<br>X-17A-5,<br>Part<br>III | | 1 | | |---------------------------------------------------------------------------------------|---------------------|-------------------------------------------|---| | | Oath of Affirmation | | 2 | | Report<br>of<br>Independent<br>Registered<br>Public<br>Accounting<br>Firm | | 3 | | | Financial | | Statement: | | | | (a) | Statement<br>of<br>Financial<br>Condition | 4 | | | (b) | Notes<br>to<br>Financial<br>Statement | 5 | {2}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | OMB Number: | | |---------------------|--| | Expires: | | | | | | hours per response: | | | | | | | | ## **ANNUAL REPORTS FORM X-17A-5 PART III** | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | | | | |---------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|---------------------------------------|--------------------------------------------|--|--|--|--| | | | | | | | | | | FILING FOR THE PERIOD BEGINNING | MM/DD/YY | AND ENDING | MM/DD/YY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | NAME OF FIRM: | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Broker-dealer<br>Check here if respondent is also an OTC derivatives dealer | Security-based swap dealer | Major security-based swap participant | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | | | | | | | | | | | | (No. and Street) | | | | | | | | | | | | | | | | | (City) | (State) | | (Zip Code) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | | | | | | | | | | (Name) | (Area Code – Telephone Number) | | (Email Address) | | |…Read the full text as markdown