ALIGHT FINANCIAL SOLUTIONS Files Annual Broker-Dealer Report
| Field | Detail |
|---|---|
| Company | Alight Financial Solutions, LLC |
| Form Type | X-17A-5 |
| Filed Date | Mar 23, 2026 |
| Risk Level | low |
| Pages | 1 |
| Reading Time | 1 min |
| Sentiment | neutral |
Complexity: simple
Sentiment: neutral
Topics: regulatory-filing, annual-report, broker-dealer, compliance
TL;DR
**ALIGHT FINANCIAL SOLUTIONS just filed its annual broker-dealer report for 2025, showing regulatory compliance.**
AI Summary
This X-17A-5 filing for ALIGHT FINANCIAL SOLUTIONS, LLC, submitted on March 23, 2026, covers their financial period ending December 31, 2025. This annual report, required for broker-dealers, provides a snapshot of their financial health and operational compliance. For investors, this matters because it offers transparency into the company's regulatory adherence and financial stability, which are crucial indicators for assessing the risk and reliability of their investment.
Why It Matters
This filing provides essential transparency into ALIGHT FINANCIAL SOLUTIONS, LLC's financial and operational compliance, which is vital for investors to gauge the company's stability and regulatory risk.
Risk Assessment
Risk Level: low — This is a routine annual regulatory filing that does not inherently indicate new risks but rather provides a standard update on compliance.
Analyst Insight
Investors should review the full X-17A-5 document (afssofc2025.pdf) for detailed financial statements and compliance attestations to assess ALIGHT FINANCIAL SOLUTIONS, LLC's health and regulatory standing.
Key Numbers
- 2026-03-23 — Filing Date (The date the X-17A-5 report was filed with the SEC.)
- 2025-12-31 — Period of Report (The end date of the financial period covered by this X-17A-5 report.)
- 008-47344 — File No. (The SEC file number associated with ALIGHT FINANCIAL SOLUTIONS, LLC's broker-dealer registration.)
Key Players & Entities
- ALIGHT FINANCIAL SOLUTIONS, LLC (company) — the filer of the X-17A-5 report
- 0000925606 (company) — the CIK (Central Index Key) for ALIGHT FINANCIAL SOLUTIONS, LLC
- 821061233 (company) — the EIN (Employer Identification Number) for ALIGHT FINANCIAL SOLUTIONS, LLC
FAQ
What is the purpose of an X-17A-5 filing for ALIGHT FINANCIAL SOLUTIONS, LLC?
The X-17A-5 filing is a FOCUS Report, an annual financial and operational report required by the SEC for broker-dealers like ALIGHT FINANCIAL SOLUTIONS, LLC, to ensure they are meeting regulatory capital and operational requirements. This specific filing covers the period ending December 31, 2025.
When was this specific X-17A-5 filing submitted and what period does it cover?
This X-17A-5 filing by ALIGHT FINANCIAL SOLUTIONS, LLC was submitted on March 23, 2026, and it covers the financial period ending December 31, 2025.
Filing Stats: 362 words · 1 min read · ~1 pages · Grade level 14.8 · Accepted 2026-03-23 16:47:43
Filing Documents
- primary_doc.html (X-17A-5)
- primary_doc.xml (X-17A-5) — 2KB
- afssofc2025.pdf (FULL) — 975KB
- 0000925606-26-000002.txt ( ) — 1346KB
From the Filing
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, 3235-0749 Estimated average burden hours per response: 12.00 X-17A-5: Filer Information 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 Broker Dealer Copy File Number Confirming Security-Based Swap Entity 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 Security-based swap dealer Major security-based swap participant 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 Firm ALIGHT FINANCIAL SOLUTIONS, LLC Address of Principal Place of Business (Do not use P.O. Box No.) Address 1 320 SOUTH CANAL STREET Address 2 50TH FLOOR ILLINOIS Mailing Zip/ Portal Code 60606 Name and Telephone Number of Person to Contact in Regard to this Report Name Doug Keith Telephone Number 2247377000 X-17A-5: B. Accountant Identification Independent Public Accountant Name - if individual, state last, first, and middle name Ernst & Young LLP Address 1 155 North Wacker Drive ILLINOIS Mailing Zip/ Postal Code 60606 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 , Douglas Keith, swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of ALIGHT FINANCIAL SOLUTIONS, LLC, as of 12-31-2025, is 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 Douglas Keith Title CFO