Ally Invest Securities LLC

02/27/2026 | Press release | Distributed by Public on 02/27/2026 14:24

Information Required of Brokers and Dealers (Form X-17A-5)

Form X-17A-5 Filer Information UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

ANNUAL AUDITED REPORT
Form X-17A-5
Part III

FACING PAGE
Information Required of Brokers and Dealers Pursuant to Section 17 of the
Securities Exchange Act of 1934 and Rule 17a-5 Thereunder
OMB APPROVAL

FORM X-17A-5

OMB Number: 3235-0123

Estimated average burden hours per response: 12.00

X-17A-5: Filer Information

Filer CIK
0001330763
Filer CCC
XXXXXXXX
Is this a LIVE or TEST Filing? LIVE TEST
Would you like a Return Copy?
Is this an electronic copy of an official filing submitted in paper format?
Confirming Copy File Number

Submission Contact Information

Name
Phone
E-Mail Address
Notify via Filing Website only?

X-17A-5: Submission Information

Report for the Period Beginning
01-01-2025
and Ending
12-31-2025
Type of Registrant Broker-dealer
OTC derivatives dealer

Material Weakness

Does this submission include an accountant's report covering the compliance report that indentifies one or more material weaknesses? Yes No

X-17A-5: A. Registrant Identification

Name of Broker-dealer
ALLY INVEST SECURITIES LLC

Address of Principal Place of Business (Do not use P.O. Box No.)

Address 1
601 S TRYON STREET
Address 2
SUITE 100
City
CHARLOTTE
State/Country
NORTH CAROLINA
Mailing Zip/ Portal Code
28202

Name and Telephone Number of Person to Contact in Regard to this Report

Name
Alex Martin
Telephone Number
425-681-6776

X-17A-5: B. Accountant Identification

Independent Public Accountant

Name - if individual, state last, first, and middle name
Deloitte & Touche
Address 1
1001 Woodward, Suite 700
City
Detroit
State/Country
MICHIGAN
Mailing Zip/ Postal Code
48226
Check One Certified Public Accountant
Certified Public Accountant not resident in United States or any of its possessions

X-17A-5: Signature

Oath or Affirmation

I, Alex Martin, swear (or affirm) that, to the best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of ALLY INVEST SECURITIES LLC, as of 12-31-2025, are true and correct. I further swear (or affirm) that neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account classified solely as that of a customer, except as follows:
Signature
Alex Martin
Title
Principal Financial Officer

Notary Public

Checking this box acknowledges that this oath or affirmation has been notarized.
Ally Invest Securities LLC published this content on February 27, 2026, and is solely responsible for the information contained herein. Distributed via EDGAR on February 27, 2026 at 20:24 UTC. If you believe the information included in the content is inaccurate or outdated and requires editing or removal, please contact us at [email protected]