Full text of CUMBERLAND SECURITIES LLC's X-17A-5 filed 2026-03-04 (period 2025-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Financial Report December 31, 2025 Filed as PUBLIC Information Pursuant to Rule 17a-(5)d Under the Securities and Exchange Act of 1934. {1}------------------------------------------------ | Contents | | |---------------------------------------------------------|-------| | Report of Independent Registered Public Accounting Firm | 1 | | Financial Statements | | | Statement of Financial Condition | 2 | | Notes to Financial Statements | 3 – 4 | {2}------------------------------------------------ # UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # ANNUAL REPORTS FORM X-17A-5 PART III | | SEC FILE NUMBER | |--|-----------------| | | | 8-51241 | | 01/01/2025 | 12/31/2025 | | |-----------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------|--------------------------------------------|------------| | FILING FOR THE PERIOD BEGINNING | | AND ENDING | MM/DD/YY | | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: Cumberland Securities LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | _ Security-based swap dealer | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | 540 W Madison, Suite 2500 | | | | | | (No. and Street) | | | | Chicago | | | 60661 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Scott Fowler | 512-807-5564 | sfowler@drw.com | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. Accountant Identification | | | | RSM US LLP | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | 30 S Wacker, Suite 3300 | (Name - if individual, state last, first, and middle name)<br>Chicago | - | 60606 | | (Address) | (City) | (State) | (Zip Code) | | | | 49 | | | 9/23/2003 | | | | | (Date of Registration with PCAOB)(if applicable) | | (PCAOB Registration Number, if applicable) | | accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable. Persons who are to respond to the collection of information contained in thi…Read the full text as markdown