Full text of MOORS & CABOT, INC.'s X-17A-5 filed 2026-06-25 (period 2025-06-30). 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** nMA APPROVAL 0MB Number. 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER ## **ANNUAL REPORTS FORM X-17A-5 PART** Ill **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under** the **Securities Exchange Act of 1934** | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|---------|--------------------------------------|--------------------------------------------|--| | FILING FOR THE PERIOD BEGINNING _7_/_1 /_2_4 | _____ | | ___<br>_<br>AND ENDING _6_/3_0_/_2_5 | | | | | MM/DD/YY | | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FtRM: Moors & Cabot, Inc. | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>D Major security-based swap participant<br>D Security-based swap dealer<br>~ Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 1 Federal Street, 19th Floor | | | | | | | | (No. and Street) | | | | | | Boston | | MA | | 02110 | | | (City) | | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Michael C. Hildreth | 617-314-0226 | | | mhildreth@moorscabot.com | | | {Name) | (Area Code - Tglgphone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>LMHS, P.C. | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 80 Washington Street, Bldg S Norwell | | | MA | 02061 | | | (Address) | (City) | | (State) | (Zip Code) | | | 2/24/09 | | | 3373 | | | | Tte of Re~stration w;th PCAOB)Pf applkableJ | | | | (PCAOB ,.,;stration Numbe<, ;f applkable)I | | | | 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…Read the full text as markdown