Full text of AE FINANCIAL SERVICES, LLC's X-17A-5 filed 2023-02-28 (period 2022-12-31). 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** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill SEC FILE NUMBER 8-70214 **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 **O 1/01/2022** MM/DD/YY AND ENDING **12/31/2022** MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: AE Financial Services, 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.) 2950 SW McClure Rd (No. and Street) Topeka **KS** 66614 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Jolene Gochenour (866)363-59595 jolene.gochenour@ae-wm.com (Name) (Area Code -Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* FORVIS, LLP (Name - if individual, state last, first, and middle name) 1201 Walnut St Suite 1700 Kansas City MO 64106 (Address) (City) (State) (Zip Code) 10/16/2003 686 **(rte** of Registration with PCAOB)(if applicable) **FOR OFFICIAL USE ONLY** (PCAOB Registration **Number,** if applicable)! \* 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, Chris Radford | | swear (or affirm) that, to the best of my knowledge and belief, the | |-------------------------------------------------------------------------------------------------|-----------------------------------|------------------------------------------------------------------------------------| | 2~<br>financial report pertaining to the firm of AE Financial Services, LLC | | as of | | 12/31 | | is true and correct. I further swear {…Read the full text as markdown