Full text of HERBERT J. SIMS & CO, INC.'s X-17A-5 filed 2025-03-14 (period 2024-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response : 12 **ANNUAL REPORTS FORM X-17A-S PART** Ill SEC FILE NUMBER 8-03315 **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FI<br>LI<br>NG<br>F<br>O<br>R<br>TH<br>E<br>PE<br>RI<br>O<br>D<br>BE<br>G<br>IN<br>N | 1<br>2<br>/3<br>1<br>/2<br>0<br>2<br>4<br>A<br>N<br>D<br>EN<br>D<br>IN<br>G<br>0<br>1<br>/0<br>1<br>/2<br>0<br>2<br>4<br>IN<br>G | | | | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------|--| | | M<br>M/<br>DD<br>/Y<br>Y | | M<br>M/<br>DD<br>/V<br>Y | | | | A<br>. R<br>EG<br>IS<br>TR<br>A<br>NT<br>ID<br>EN<br>TI<br>FI<br>C | A<br>TI<br>O<br>N | | | | H<br>E<br>R<br>B<br>E<br>R<br>T<br>O<br>NA<br>M<br>E<br>F<br>FI<br>RM<br>: | S<br>S<br>C<br>O<br>J<br>I<br>M<br>&<br>I<br>N<br>., | C | | | | TY<br>PE<br>O<br>F<br>RE<br>G<br>IS<br>TR<br>AN<br>T<br>(c<br>he<br>ck<br>ll<br>a<br>ap<br>C!<br>D<br>J<br>S<br>B<br>ke<br>de<br>al<br>ity<br>ro<br>r-<br>er<br>ec<br>ur<br>0<br>Ch<br>k<br>he<br>if<br>de<br>is<br>lso<br>nt<br>ec<br>re<br>re<br>sp<br>on<br>a<br>a | pl<br>ic<br>ab<br>le<br>b<br>):<br>ox<br>es<br>-b<br>ed<br>d<br>le<br>M<br>as<br>s<br>w<br>ap<br>ea<br>r<br>OT<br>C<br>de<br>riv<br>ive<br>de<br>al<br>at<br>n<br>s<br>er | aj<br>ity<br>-b<br>ed<br>or<br>s<br>ec<br>ur<br>as<br>s | tic<br>ip<br>t<br>w<br>ap<br>p<br>ar<br>an | | | ES<br>S<br>O<br>C<br>CE<br>O<br>AD<br>DR<br>F<br>PR<br>IN<br>IP<br>AL<br>P<br>LA<br>F | SI<br>SS<br>: (<br>.O<br>BU<br>NE<br>Do<br>P<br>ot<br>n<br>u<br>se<br>a | )<br>. b<br>ox<br>n<br>o. | | | | O<br>S<br>O<br>S<br>2<br>1<br>0<br>P<br>T<br>R<br>A<br>D<br>5 | U<br>I<br>T<br>E<br>3<br>0<br>1 | | | | | |…Read the full text as markdown