Full text of HERBERT J. SIMS & CO, INC.'s X-17A-5 filed 2026-03-17 (period 2025-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES Sale Noni ice tans SECURITIES AND EXCHANGE COMMISSION vanes Washington, D.C. 20549 Estimated average burden hours perresponse: 12 Expires: Nov. 30, 2026 # ANNUAL REPORTS FORM X-17A-5 8-03315 PART Ill 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 __ 01/01/2025 | | | AND ENDING | 12/31/2025 | | | |-----------------------------------------------|---------|--------------------|------------|------------|--|--| | | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | NAME OF FIRM: | HERBERT | J SIMS & CO., INC. | | | | | TYPE OF REGISTRANT (check all applicable boxes): [Xl Broker-dealer Security-based swap dealer Major security-based swap participant Check here if respondent is also an OTC derivatives dealer ## ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 2150 POST ROAD SUITE 301 | | (No. and Street) | | | |----------------------------------------------|--------------------------------|---------------------|--| | FAIRFIELD | CT | 06824 | | | (City) | (State) | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | JASON DIAMOND | (203)-418-9006 | JDIAMOND@HJSIMS.COM | | | (Name) | (Area Cade — Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | ## INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* APRIO, LLP (Name — if individual, state last, first, and middle name) | 350 5TH Ave #3920 | NEW YORK | NY | 10018 | |--------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------|--------------------------------------------| | (Address) | (City) | (State) | (Zip Code) | | | | 926 | | | (Date of Registration with PCAOB){if applicable) | | | (PCAOB Registration Number, if applicable) | | | FOR OFFICIAL USE ONLY | | | | CFR 240.17a-5(e)(1)(ii), if applicable. | * Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public<br>accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 | | | | | Persons who are to respond to the collection o…Read the full text as markdown