Full text of CONNERS & CO., INC.'s X-17A-5 filed 2026-06-16 (period 2025-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **Nasdaq ISE, LLC, Nasdaq GEMX, LLC, Nasdaq MRX, LLC** **Nasdaq Stock Market, LLC, Nasdaq BX, Inc., NASDAQ PHLX LLC** **New York Stock Exchange LLC, NYSE American LLC** **NYSE Arca, Inc., NYSE Texas, Inc., NYSE National, Inc.** FINRA may share a copy of the submitted Annual Audit with any SRO(s) listed above of which your firm is a member. **If you are a member of an SRO that is not listed above and that has not waived the filing requirement by rule, you· must continue to file directly with such SRO.** | Name of Auditor• | | PCAOB#* | | | | | |-----------------------------------------|----------------|------------|------|-----------------|-----|--------| | I<br>Rodefer Moss & Co, PLLC | | 1910 | | | | | | Auditor Address -<br>Street* | City* | State* | | Zip Code* | | | | !<br>eoa Mabry Hood Road | I<br>Knoxville | l'---- T_N | ____ | _JI l.__37_93_2 | ___ | _____, | | Auditor Main Phone Number* | | | | | | | | 1865-583-0091 • | | | | | | | | Lead Audit Partner Name" | | | | | | | | I<br>Rickey Luttrell | | | | | | | | Lead Audit Partner Direct Phone Number* | | | | | | | | 1865-583-0091 | | | | | | | | Lead Audit Partner Email Address* | | | | | | | | I<br>rluttrell@rodefermoss.com | | | | | | | | FYE: 12025-12-31 | | | | | | | **Below is a list of required documents. Please check to indicate the document is attached.\*** FINRA reminds member firms that the SEC has updated the Facing Page and Oath or Affirmation that member firms are required to file with their annual report pursuant to SEA Rule 17a-5. All firms must use the amended Facing Page and Oath or Affirmation beginning for fiscal years ending October 31, 2021. The updated Facing Page and Oath or Affirmation is available on the SEC Ylr'.ebsjte. lilFacing Page [Form X-17 A-5 Part 111] ™1An Oath or Affirmation [SEA Rule 17a-5(e)(2}] ~Independent Public Accountant's Report (SEA Rules 17a-5(g)(1 ), 17a-:5(i)(2) and (3)] Qstatement of Financial Condition [SEA Rule 17a-5(d)(2)(i)] ~Statement of Income [SEA Rule 17a-5(d)(2)(i)] ~Statement of Cash Flows [SEA Rule 17a~5(d)(2)(i)] {1}------------------------------------------------ ~Statement of Changes in Stockholder's or Partner's or Sole Proprietor's Equity [SEA Rule 17a-5(d)(2)(i)] ~Notes to Financial Statements (Include Summary of Financial Data of Subsidiaries if applicable [SEA Rule 17a-5( d)(2)(i)]) licomputation of Net Capital [SEA Rule 17a-5(d)(2)(ii)] lilReconciliation of Computation of Net Capi…Read the full text as markdown