MetLife Investments Securities Files Routine Annual Broker-Dealer Report
| Field | Detail |
|---|---|
| Company | Metlife Investments Securities, LLC |
| Form Type | X-17A-5 |
| Filed Date | Mar 24, 2026 |
| Risk Level | low |
| Pages | 1 |
| Reading Time | 1 min |
| Sentiment | neutral |
Complexity: simple
Sentiment: neutral
Topics: regulatory-filing, compliance, broker-dealer, annual-report
TL;DR
**MetLife Investments Securities just filed its annual broker-dealer compliance report, showing it's playing by the rules.**
AI Summary
METLIFE INVESTMENTS SECURITIES, LLC filed its X-17A-5 report on March 23, 2026, for the period ending December 31, 2025. This filing, which includes financial statements, an exemption report, and a SIPC report, is a routine annual audit required for broker-dealers. For investors, this matters because it confirms the company is meeting its regulatory obligations, which is a baseline for operational stability and trustworthiness, though it doesn't reveal specific financial performance metrics in this summary.
Why It Matters
This filing confirms METLIFE INVESTMENTS SECURITIES, LLC is adhering to critical regulatory requirements, which is essential for maintaining its license to operate and for investor confidence in its compliance.
Risk Assessment
Risk Level: low — This is a routine compliance filing, indicating standard regulatory adherence rather than any immediate financial risk or opportunity.
Analyst Insight
A smart investor would note this filing as a positive sign of regulatory compliance but would need to review the detailed financial documents (d85355dfull.pdf) within the filing for actual financial performance and health insights.
Key Players & Entities
- METLIFE INVESTMENTS SECURITIES, LLC (company) — Filer of the X-17A-5 report
- 0001687604 (company) — CIK of METLIFE INVESTMENTS SECURITIES, LLC
- 2026-03-23 (date) — Filing Date and Effectiveness Date
- 2025-12-31 (date) — Period of Report end date
FAQ
What is the purpose of the X-17A-5 filing by METLIFE INVESTMENTS SECURITIES, LLC?
The X-17A-5 filing is a FOCUS Report, which is an annual audit required for broker-dealers to report their financial condition and operational results to the SEC, ensuring compliance with regulatory standards. This specific filing includes financial statements, an exemption report, and a SIPC report.
When was this specific X-17A-5 report filed and for what period?
This X-17A-5 report was filed on March 23, 2026, and its effectiveness date is also March 23, 2026. The report covers the period ending December 31, 2025.
Filing Stats: 369 words · 1 min read · ~1 pages · Grade level 15.8 · Accepted 2026-03-23 21:49:18
Filing Documents
- primary_doc.html (X-17A-5)
- primary_doc.xml (X-17A-5) — 2KB
- d85355dfull.pdf (FULL) — 489KB
- d85355dfull1.pdf (FULL) — 161KB
- d85355dfull2.pdf (FULL) — 844KB
- 0001193125-26-120371.txt ( ) — 2058KB
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 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 MetLife Investments Securities, LLC Address of Principal Place of Business (Do not use P.O. Box No.) Address 1 One MetLife Way NEW JERSEY Mailing Zip/ Portal Code 07981-1449 Name and Telephone Number of Person to Contact in Regard to this Report Name Michael Yick Telephone Number 973-355-4170 X-17A-5: B. Accountant Identification Independent Public Accountant Name - if individual, state last, first, and middle name Deloitte & Touche LLP Address 1 30 Rockefeller Plaza NEW YORK Mailing Zip/ Postal Code 10112-0015 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 , Michael Yick, swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of MetLife Investments Securities, LLC, as of 03-23-2026, 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 Michael Yick Title MIM CFO Notary Public Checking this box acknowledges that this oath or affirmation has been notarized.