Full text of ALLIANCE-ONE INVESTMENTS, LLC's X-17A-5 filed 2022-06-15 (period 2022-03-31). 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 | | | OMBAPPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER ### **PART** Ill **FACING PAGE** 8-69868 **Information Required Pursuant to Rules 17a-5, 17a-12, and lSa-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **04/01/2021** AND ENDING **03/31/2022** MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: Alliance-One Investments, LLC **TYPE OF REGISTRANT (check all applicable boxes):** <sup>~</sup>**Broker-dealer** D **Security-based swap dealer** D Major security-based swap participant 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.) ## 4000 **N.** Mingo Road | | ( No. and Street) | | | |----------------------------------------------|-----------------------------------------------------------------------------------------------------------|--------------------------------------|--| | Tulsa | OK | 74116 | | | (City) | (State) | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | William C. Arbo | 470-754-9839 | carbo2@dxc.com | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | | | | B. ACCOUNTANT IDENTIFICATION<br>INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | BOO USA, LLP | | | | | 8401 Greensboro Drive, Suite 800 McLean | (Name - if individual, state last, first, and middle name) | | | | | (City) | 22102<br>VA<br>(State)<br>(Zip Code) | | | (Address)<br>10/08/2003<br>T' | | 243 | | \* 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 statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240. l 7a-5(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** | | swear (or affirm) that, to the best of my knowledge and belief, the<br>I, William c. Arbo | |-----|----------------------------------------------------------------------------------------------------------…Read the full text as markdown