Full text of SPENCER-WINSTON SECURITIES CORPORATION's X-17A-5 filed 2026-07-28 (period 2026-04-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # SPENCER-WINSTON SECURITIES CORPORATION (SEC I.D. No. 8-24995) Report Pursuant to Rule 17a-5 of The Securities and Exchange Commission *Financial Statements and Supplemental Schedules* As of and for the Year Ended April 30, 2026 (Including Report of Independent Registered Public Accounting Firm) {1}------------------------------------------------ #### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 **ANNUAL REPORTS FORM X-17A-S** | 0 MB APPROVAL | | |--------------------------|--| | | | | 0 MB Number: 3235-0123 | | | Expires: Nov. 30, 2026 | | | Estimated average burden | | | hours per response: 12 | | # **PART Ill** | | | SEC FILE NUMBER | |--|--|-----------------| | | | 8-24995 | **{PCAOB Registcatioo N ,mbec,** if **applicable)** I **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 **05/01/2025** MM/00/YY AND ENDING **04/30/2026** MM/00/YY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM : Spencer Winston Securities Corporation TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer D Security-based swap dealer • Major security-based swap participant D Check here if respondent is also an OTC derivatives dea ler ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 45 West 47th Street-Suite 402 (No. and Street} New York **NY** (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 10036 (Zip Code} William E Ranke! 917 225 2478 bi ll@fi nopsvcs. com (Name) (Area Code - Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing \* Ferrara CPA (Name - if individual, state last, first, and middle name) 100 Horizon Center Blvd Hamilton NJ (Address} (City) (Stat e) 12/17/2024 7259 08691 (Zip Code} l" of **Registcafoo with PCAOB** )(if **applicable)** **FOR OFFICIAL USE ONLY** \* Claims for exemption from the requirement that the annua l 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 exemption. See 17 CFR 240.17a-S(e)(l}(ii}, if applicable. **Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number.** {2}--------------------------------------------…Read the full text as markdown