Full text of AEL FINANCIAL SERVICES, LLC's X-17A-5 filed 2024-03-29 (period 2023-12-31). 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** # **ANNUAL REPORTS FORM X-17A-5 PART** Ill 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-70298 **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 **0 1/01 /23** AND ENDING **12/31 /23** MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: AEL Financial Services, LLC TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer □ 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.) # 2101 Rexford Road, Suite 310 | | (No. and Street) | | | | |----------------------------------------------|-------------------------------------------------------------------------------------------------------------------------|---------------------------|------------------------------------------|--| | Charlotte | NC | | 28211 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Susan Hayes | 609-642-6593 | shayes@pattentraining.com | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>DeMarco Sciaccotta Wilkens & Dunleavy, LLP | | | | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 20646 Abbey Woods Ct N, Ste 201<br>(Address) | Frankfort<br>(City) | IL<br>(State) | 60423<br>(Zip Code) | | | 12/21/2010 | | 5376 | | | | rte of R,g;stcaUoa w;th PCAOBl{;f appHcable) | | | (PCAOB Reg,stc,Uoa Nombec, ;fa ppHcable) | | \* 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-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** I, Elizabeth Bailey swear (or affirm) that, to the b…Read the full text as markdown