Full text of ALLIANCE-ONE INVESTMENTS, LLC's X-17A-5 filed 2023-06-30 (period 2023-03-31). 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-17 A-5 PART** Ill OMBAPPROVAL 0 MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 | SEC FILE NUMBER | |-----------------| | 8-69868 | | | | | **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 **04/01/2022** MM/DD/YY AND ENDING **03/31/2023** MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: Alliance-One Investments, LLC TYPE OF REGISTRANT (check all applicable boxes): ~ 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** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* ## Crowe LLP | | (Name- if individual, state last, first, and middle name) | | | | |-----------------------------------------------|-----------------------------------------------------------|---------|-------------|--| | 485 Lexington Avenue | New York | NY | 10017 | | | (Address) | (City) | (State) | (Zip Cod e) | | | 09/24/03 | | 173 | | | | T'<br>of Reg;strafoo wi<h PCAOB)Of appUrable) | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | \* 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 240.17a-S(e)(l)(ii), ifapplicable. 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** | | I, _Wi _11_1ia_m_c_._A_rb_o _______________ | |----------|-------------------------------------------…Read the full text as markdown