Full text of ALLIANCE-ONE INVESTMENTS, LLC's X-17A-5 filed 2025-06-20 (period 2025-03-31). 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** | OMBAPPROVAL | | |--------------------------|--| | 0MB Number: 3235-0123 | | | Expires: Nov. 30, 2026 | | | Estimated average burden | | | hours per response: 12 | | | | | SEC FILE NUMBER 8-69868 #### **FACING PAGE** **PART** Ill **Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **04/01/2024** MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: Alliance-One Investments, LLC TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer D Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer AND ENDING **03/31/2025** 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 | | | | | (Na me) | (Area Code - Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | Crowe LLP | | | | | | | (State) | (Zip Code) | |---------|------------------------------------------| | | | | 173 | | | | IPCAOB ,,.ma<ioo Nombe,, , applicable) I | | | | | | | \* 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), 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** | | I, _Wi _11_1ia_m_c_._A_rb_o _______________<br>_, swear (or affirm) that, to the best of my knowledge and belief, the | |----------|----------------------------------------------------------------------------------------…Read the full text as markdown