Full text of SPENCER-WINSTON SECURITIES CORPORATION's X-17A-5 filed 2026-06-30 (period 2025-04-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES | | | | | | |----------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-------------------------------------------------------------------------------|-----------------|----------------------------------------------------------|--|--| | SECURITIES AND EXCHANGE COMMISSION | 0MB Number: 3235-0123 | | | | | | | | | l:xpires:Nov. 30, 2026<br>Estimated average t)urden<br>hours per response: 12 | | | | | | | SEC FILE NUMBER | | | | | | | | ANNUAL REPORTS<br>FORM X-17A-5 | | | 8-24995 | | | | | PART Ill | | | | | | | | FACING PAGE | | | | | | | lnforr~ation Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities uchange Act of 1934 | | | | | | | | FILING FOR THE PERIOD BEGINNING 01-05-2024 | | AND ENDING 04-30-2025 | | | | | | | MM/ 00/YY | | | MM / DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF FIRM: SPENCER WINSTON SECURITIES CORP | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>l!J Broker-dealer<br>• Check h.ere if respondent is also an OTC derivatives dealer | • Security-based swap dealer | :::J Major security-based swap participant | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | 45WEST 47 STREET | | SUITE402 | | | | | | | {No. and Street} | | | | | | | NEW YORK | | NEW YORK | | 10036 | | | | (City) | (State) | | | (Zip Co de) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | OSCAR ECHMAN | 212-840-2444 | | | oechman@spencerwinston.com | | | | {Name) | (Area Code -Telephone Number) | | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBUC ACCOUNTANT whose reports are contained in this filing•<br>Ferrara CPA | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | PO BOX 2555 | HAMIL TON SQUARE | | NJ | 08690 | | | | (Address) | (City} | | (State) | (Zip Code) | | | | 12/17/2024 | | 7259 | | | | | | {O3t0 o f Re i•tratlo n .with PCAOB if a_e~p l_ica_ b_le~) | _________<br>FOR OFFICIAL USE ONLY | | | _ , , .J l'CAOB Registration NUml:le[, if ap licable) ,, | | | | | | | | | | | | | | | | | | | | * Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public | | | | | | | **Persons who are to respond to the colle…Read the full text as markdown