Full text of R.W. SMITH & ASSOCIATES, LLC's X-17A-5 filed 2026-07-30 (period 2026-04-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL REPORTS FORM X-17A-S PART** Ill **FACING PAGE** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-34240 **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **\_\_ 0\_5\_/0\_1\_/\_2\_5 \_\_** AND ENDING **\_0\_4\_/\_3\_0\_/2\_6 \_\_\_ \_** MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: R w SMITH & ASSOCIATES, LLC TYPE OF REGISTRANT (check all applicable boxes): [!] Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 111 TOWN SQUARE PLACE Suite 1500 (No. and Street) JERSEY CITY NJ 07310 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Michael George (201 )217-8055 michaelg@rwsbroker.com (Name) (Area Code - Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Citrin Cooperman & Company LLP (Name - if individual, state last, first, and middle name) 50 Rockefeller Plaza New York NY 10020 (Address) (City) (State) (Zip Code) 11/02/2005 2468 Ir **of RoOmation with PCAOBJI•** ap~lcab~J (PCAOB Registration Number, if applicable) **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 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. {1}------------------------------------------------ #### **OATH OR AFFIRMATION** I, Christoper Ferreri swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of R W Smith & Associates . as of 4/30 2~ is true and correct. I further swear (or affirm) that neither the company nor any partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classified solely as that of a customer. '-f'~A~ MICH…Read the full text as markdown