Full text of QUINCY CASS ASSOCIATES, INCORPORATED's X-17A-5 filed 2026-01-29 (period 2025-11-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # CONSOLIDATED FINANCIAL STATEMENTS AND ACCOMPANYING SUPPLEMENTARY INFORMATION #### REPORT PURSUANT TO SEC RULE 17a-5(d) FOR THE FISCAL YEAR ENDED NOVEMBER 30, 2025 {1}------------------------------------------------ #### Table of Contents | | | PAGE | | | | | |---------------------------------------------------------------------|-----------------------------------------------|------|--|--|--|--| | SEC Form X-17A-5 | I | | | | | | | Report of Independent Registered Public Accounting Firm | 2 | | | | | | | Consolidated Statement of Financial Condition | | | | | | | | Consolidated Statement of Income | | | | | | | | Consolidated Statement of Changes in Stockholders' Equity (Deficit) | | | | | | | | Consolidated Statement of Cash Flows | | | | | | | | Statement of Changes in Subordinated Borrowings | 7 | | | | | | | Notes to Consolidated Financial Statements | 8 -<br>13 | | | | | | | Supplementary Information | | | | | | | | Schedule I | Statement of Net Capital | 14 | | | | | | Schedule II | Determination of Reserve Requirements | 15 | | | | | | Schedule III | Information Relating to Possession or Control | 15 | | | | | | Assertions Regarding Exemption Provisions | | | | | | | | Report of Independent Registered Public Accounting Firm | | | | | | | {2}------------------------------------------------ #### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington1 D.C. 20549 # **ANNUAL REPORTS FORM X-17A-S PART Ill** | 0MB APPROVAL | | | | | | | | |--------------------------|--|--|--|--|--|--|--| | 0MB Number: 3235-0123 | | | | | | | | | Expires: Nov. 30, 2026 | | | | | | | | | Estimated average burden | | | | | | | | | hours per response: 12 | | | | | | | | #### SEC ALE NUMBER 8-05743 FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING 12/Q 1 /2024 MM/DD/YV AND ENDING 11/30/2025 MM/DD/VY **A.\_ REGISTRANT** IDENTIFICATION NAME OF FIRM: Quincy Cass Associates, Incorporated TYPE OF REGISTRANT (check all applicable boxes): [!) Broker-dealer D Security-based swap dealer 0 Major security-based swap participant D Check here if respondent is a1so an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P .0. box no.) 11111 Santa Monica Boulevard, Suite 1650 (No. and Street) Los Angeles CA (City) {State) PERSON TO CONTACT WITH REGARD TO THIS FILING 90025 (Zip Code) Mark Minichiello 310-473-4411 m…Read the full text as markdown