Full text of ALLIANCE-ONE INVESTMENTS, LLC's X-17A-5 filed 2021-06-30 (period 2021-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | UNITEDSTATES | | |-----------------------------------|--| | SECURITIES ANDEXCHANGE COMMISSION | | | Washington, D.C. 20549 | | ## ANNUAL AUDITED REPORT FORM X-17A-5 PART III | | OMB APPROVAL | | |-------------|--------------|---------------------------| | OMB Number: | | 3235-0123 | | Expires: | | October 31, 2023 | | | | Estimated average burden | | | | hours per response 12.00 | | SEC FILE NUMBER | |-----------------| | 8-69868 | FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING | 04/01/2020 | AND ENDING | 03/31/2021 | |--------------------------------------------------------------------------------------------|--------------------------------------------------------|------------|--------------------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: Alliance-One Investments, LLC | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | 4000 N. Mingo Road | | | | | | (No. and Street) | | | | Tulsa | OK | | 74116 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>William C. Arbo | | | 980-273-7537 | | | | | (Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | BDO USA, LLP | | | | | | (Name - if individual, state last, first, middle name) | | | | 8401 Greensboro Drive, Suite 800 McLean | | VA | 22102 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | Certified Public Accountant | | | | | Public Accountant | | | | | Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | \*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(e)(2) SEC 1410 (11-05) Potential persons who are to respond to the collection of information contained in this form are not required to respons unless the form displays a currently valid O {1}------------------------------------------------ #### OATH OR AFFIRMATION | Jay Toomey | , swear (or affirm) that, t…Read the full text as markdown