# EDGAR Filing Document

**Accession Number:** 0001285921
**File Stem:** 0001285921-23-000001
**Filing Date:** 2023-3
**Character Count:** 3329
**Document Hash:** 1bf3a2c6ed1694a0f4d54c1b357f981f
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001285921-23-000001.hdr.sgml**: 20230301

**ACCESSION NUMBER**: 0001285921-23-000001

**CONFORMED SUBMISSION TYPE**: X-17A-5

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230301

**DATE AS OF CHANGE**: 20230301

**EFFECTIVENESS DATE**: 20230301

**PERIOD START**: 20220101

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** CONNING INVESTMENT PRODUCTS, INC.
- **CENTRAL INDEX KEY:** 0001285921
- **IRS NUMBER:** 753027853
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** X-17A-5
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 008-66444
- **FILM NUMBER:** 23689676

**BUSINESS ADDRESS:**
- **STREET 1:** ONE FINANCIAL PLAZA
- **STREET 2:** 755 MAIN STREET
- **CITY:** HARTFORD
- **STATE:** CT
- **ZIP:** 06103-2627
- **BUSINESS PHONE:** 860-299-2151

**MAIL ADDRESS:**
- **STREET 1:** ONE FINANCIAL PLAZA
- **CITY:** HARTFORD
- **STATE:** CT
- **ZIP:** 06103-2627

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** CONNING RESEARCH & CONSULTING, INC.
- **DATE OF NAME CHANGE:** 20040401

### Attached PDF Documents

**Attachment 1:** `dec22_audit_cip_bs.pdf`

# **CONNING INVESTMENT PRODUCTS, INC.**
**STATEMENT OF FINANCIAL CONDITION**
**AT DECEMBER 31, 2022**

|  | 2022 |
| --- | --- |
| ASSETS |  |
| Assets: |  |
| Cash and cash equivalents | $705,590 |
| Accounts receivable, net | 79,938 |
| Due from affiliate | 64,564 |
| Prepaid expenses | 23,565 |
| Total assets | $873,657 |

# **LIABILITIES AND SHAREHOLDER'S EQUITY**

| Liabilities: |  |
| --- | --- |
| Due to affiliate | $36,886 |
| Income taxes payable | 7,750 |
| Other liabilities and accrued expenses | 88,920 |
| Total liabilities | 133,556 |

| Common stock, $.01 par value: 1,000 shares authorized, issued and outstanding | 10 |
| --- | --- |
| Additional paid in capital | 832,108 |
| Retained Earnings/(Accumulated deficit) | (92,017) |
| Total shareholder's equity | 740,101 |
| Total liabilities and shareholder's equity | $873,657 |

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM X-17A-5

### ANNUAL AUDITED REPORT

### Filer Information

**Filer CIK:** 0001285921

**Filer CCC:** XXXXXXXX

**Is this a LIVE or TEST filing?:** LIVE

**Would you like a Return Copy?:** No

### Submission Information

**Report Period Begin Date:** 01-01-2022

**Report Period End Date:** 12-31-2022

**Type of Registrant:** Broker-dealer

**Any material weaknesses identified?:** No

### Registrant Identification

**Name of Broker-Dealer:** CONNING INVESTMENT PRODUCTS, INC.

**Business Address:** ONE FINANCIAL PLAZA, 755 MAIN STREET, HARTFORD, CT, 06103-2627

**Contact Person:** Thomas Forella

**Contact Phone:** 860-299-2167

### Independent Public Accountant Identification

**Accountant Name:** PricewaterhouseCoopers, LLP

**Accountant Address:** 185 Asylum Street, Hartford, CT, 06103

**Accountant Type:** Certified Public Accountant

### OATH OR AFFIRMATION

I, **Jung Lee**, swear (or affirm) that, to the best of my knowledge and belief, the accompanying financial statements and supporting schedules pertaining to the firm of **CONNING INVESTMENT PRODUCTS, INC.**, as of **12-31-2022**, are true and correct.

**Signature:** Jung Lee

**Title:** COO/CFO

**Notarized:** Yes