Full text of WATERFORD CAPITAL, INC.'s X-17A-5 filed 2026-01-29 (period 2025-11-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UI\IITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM X-17A=5 PARTIII FACING PAGE 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: I 2 SEC FILE NUMBER 8-39210 lnforrnation Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING 12/01 /24 MM/DD/VY AND ENDING 11 /30/25 MM/DD/VY A. REGISTRANT IDENTIFICATION r\JAME oF FIRM: Waterford Capital, Inc. TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer □ Security-based swap dealer :J 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.) Midway Road, Suite 138 (No. and Street) Addison Texas 75001 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING o· Connor 214.363.6920 david@waterfordcapital.com (Name) (Area Code -Telephone Number) (Email Address) B. ACCOUNTANT IDENTIFICATION lf\JDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Company, LLC (Name - if individual, state last, first, and middle name) 325 North Saint Paul St. Suite 3100 Dallas TX 75201 (Address) (City) (State) (Zip Code) 18/2003 169 (Da,e of Registration with PCAOB)(if applicable) FOR OFFICIAL USE ONLY **(PCAOB Re<stcat;oo Nombe,,** If **applicable(** I \* Claims for exemption frorn the requirement that the annual reports be covered by the reports of an independent public accountant rnust 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 this form are not required to respond unless the form displays a currently valid 0MB control number. {1}------------------------------------------------ #### **OATH OR AFFIRMATIOI\I** | 1, David o· Connor | swear (or affirm) that, to the best of ~y knowledge and belief, the | |--------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------| | financial report pertaining to the firm of Watertord Capital, Inc. | as of | | 2~<br>11 /30 | is true and correct. I further swear (or affirm) that neither the company nor any | | | partner, officer, director, or equ…Read the full text as markdown