Full text of NESTLERODE & LOY, INC.'s X-17A-5 filed 2025-12-04 (period 2025-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **NESTLERODE & LOY, INC.** ANNUAL FINANCIAL STATEMENTS SEPTEMBER 30, **2025** {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART Ill** **FACING PAGE** | SEC FILE NUMBER | |-----------------| | | 8-12629 16801 (Zip Code) **Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING \_\_\_ 10\_/\_0\_1/\_2\_4 \_\_ AND ENDING \_\_\_ 0\_9/\_3\_0\_/2\_5 \_\_ \_ MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: Nestlerode & Loy, Inc. TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer □ Security-based swap dealer D Check here if respondent Is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 110 Regent Court, Suite 202 (No. and Street) State College PA (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING | Brian<br>Anderson | 814-238-6249 | banderson@nestlerode.com | |-------------------|-------------------------------|--------------------------| | (Name) | (Area Code -Telephone Number) | (Email Address) | #### **B. ACCOUNTANT IDENTIFICATION** #### INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* | | RW Group, LLC | | | | | |------------------------------------------------------------|-----------------------|---------|--------------------------------------------|--|--| | (Name - if individual, state last, first, and middle name) | | | | | | | Cambridge<br>Road<br>114 | berg<br>Landen | PA | 19350 | | | | (Address) | (City) | (State) | (Zip Code) | | | | T"<br>02/23/2010 | | | 5020 | | | | of Registcatloo with PCAOBl(lf appllcableJ | | | {PCAOB Reglstcatloo N,mbec, If appllcableJ | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See <sup>17</sup> CFR 240.17a-S(e)(1)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid…Read the full text as markdown