Full text of BROWN BROTHERS HARRIMAN INVESTMENTS, LLC's X-17A-5 filed 2024-02-26 (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 ## ANNUAL REPORTS FORM X-17A-5 PART Ill 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER 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 **Q 1/01/2023** MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** # NAME OF FIRM : BROWN BROTHERS HARRIMAN INVESTMENTS, LLC TYPE OF REGISTRANT (check all applicable boxes): [!] Broker-dealer D Security-based swap dealer D Major security-based swap participant 0 Check here if respondent is also an OTC derivatives dealer AND ENDING **12/31/2023** 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.PUSTORlNO@BBH.COM | | (Name) | (Area Code - Telephone Number) | (Em.ti! Address) | | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | BAKER TILLY US, LLP | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | (Name - if individual, state last, first, and middle name) | | | | 66 HUDSON BLVD E, SUITE 2200 NEW YORK | | NY | 10001 | | (Address)<br>OCTOBER 22, 2003 | (City) | (State)<br>23 | (Zip Code) | | T"<br>of R,,;,u,t;o, with PCAOBJ{;f appUcabl,J | | (PCAOB R,g;st<atioo N"mbe,, • appUcable) | | \* Cla ims 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)(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** | | financial report pertaining to the firm of BROWN BROTHERS HARRIMAN INVESTMENTS, LLC<br>as of | |------------|----------------------------------------…Read the full text as markdown