Full text of BROWN BROTHERS HARRIMAN INVESTMENTS, LLC's X-17A-5 filed 2022-02-23 (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** **OMS APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12** **SEC FILE NUMBER** **8-6971** ## **ANNUAL REPORTS FORM X-17A-5 PART Ill** | 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 | 01/01/2021 | AND ENDING | | 12/31/2021 | | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------|------------|------------|----------------------------------------|--| | | MM/DD/VY | | | MM/DD/VY | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: BROWN BROTHERS HARRIMAN INVESTMENTS, LLC | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>00 Broker-dealer<br>D Security-based swap dealer<br>D Major security-based swap participant<br>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.) | | | | | | | 140 BROADWAY | | | | | | | | (No. and Street) | | | | | | NEW YORK | NY | | 10005 | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Paul Pustorino | 212-493-8058 | | | paul.pustorino@bbh.com | | | (Name) | (Area Code-Telephone Number) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>BAKER TILLY US, LLP | | | | | | | | (Name -if individual, state last, first, and middle name) | | | | | | ONE PENN PLAZA-<br>SUITE 3000 | NEW YORK | | NY | 10119 | | | "'<br>(Address) | (City) | | (State) | (Zip Code) | | | October 22, 2003 | | | 23 | | | | of Reg;,t,aUoo w;,h PCAOB)(O applkabk,) | | | | (PCAOB Reg•tcaUoo Nombec, 0 apphcable) | | | T | FOR OFFICIAL USE ONLY | | | | | | * Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public | | | | | | **\* 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 st…Read the full text as markdown