Full text of BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC's X-17A-5 filed 2023-03-01 (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 ## **ANNUAL REPORTS FORM X-17A-5 PART Ill** | OMB APPROVAL | | | | |---------------------------|--|--|--| | OMB Number: 3235 0123 | | | | | Expires: Oct. 31, 2023 | | | | | Estimated average burden | | | | | hours per response:<br>12 | | | | SEC FILE NUMER 8 **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 | _______<br> | <br>AND ENDING | | | |---------------------------------|-------------|----------------|----------|--| | | MM/DD/VY | | MM/DD/VY | | | A. REGISTRANT IDENTIFICATION | | | | | #### &VSSOJMIPH 3EOXVII ;IEPXL 7SPYXMSRW 00' NAME OF FIRM: TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer □ Security-based swap dealer □ Major security-based swap participant □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 0MFIVX] 7XVIIX VH \*PSSV | | (No. and Street) | | | | | |--------------------------------------------------------------------------------------------------------|----------------------------------------------|----------------------------|-------------------------------------------|--|--| | 2I[<br>=SVO | 2= | | | | | | (City) | (State) | | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | 6EJEIP<br>&IGO | <br> | VFIGO\$MRXIKVEXIHWSPYXMSRW | | | | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>(IPSMXXI<br>8SYGLI<br>004 | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | <br>6SGOIJIPPIV<br>4PE^E | 2I[<br>=SVO | 2= | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | | | | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, ifapplicable) | | | #### **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), if applicable. **Persons who are to respond to the collection of information contained in this form are not required to respond unless the form dis…Read the full text as markdown