Full text of VANDERBILT SECURITIES, LLC's X-17A-5 filed 2025-12-29 (period 2025-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # VANDERBILT SECURITIES, LLC FINANCIAL REPORT SEPTEMBER 30, 2025 {1}------------------------------------------------ #### UNrTED STATES SECURmES AND EXCHANGE mMMISSION Washington, D.C; 20549 0MB ·----·· 0MB Number: 3235-0123 Expires: Nav. 30, 2026 Estimated average burden hours per-response; 12 > SEC Al.£ NUMBER 8-16712 # ANNUAL REPORTS FORM X-17A-5 PART Ill | FACING PAGE | | |-------------|--| | | | Information **Required Pursuant** to Rules 17a-5, 17a-12, and lBa-7 **under the** Securities **Exchange Act** of 1934 | FILING FOR THE PERIOD BEGINNING 10/01 /24 | | AND ENDING 09/30/25 | | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------|-----------------------------------------|--------------------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME oF FtRM: Vanderbilt Securities, LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>0 Broker-dealer<br>D Security-based swap dealer<br>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.) | | | | | | 125 Froehlich Farm Blvd. | | | | | | | (No. and Street) | | | | | Woodbury | NY | | 11797 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Megan Plapp | 631-845-5100 | | rnplapp@vanderbiltsecurilies.com | | | {Name) | (Area Code-Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing•<br>RW Group, LLC | | | | | | {Name- if individual, st.ate last, first, and middle name) | | | | | | 114 Cambridge Road | Landen berg | PA | 19350 | | | (Address) | (City) | (State) | (Zip Code) | | | 2/23/2010 | | 5020 | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number. if applicable) | | | | FOR 0FFIOAL USE ONLY | | | | • daims 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 racts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(l)(ii), if applicable. Persons who are to respond to the collection of information co…Read the full text as markdown