Full text of LOMBARD SECURITIES INCORPORATED's X-17A-5 filed 2026-03-30 (period 2025-12-31). 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 PUBLIC | OMB APPROVAL | |---------------------------| | OMB Number: 3235-0123 | | Expires: Nov. 30, 2026 | | Estimated average burden | | hours per response:<br>12 | | | | SEC FILE NUMBER | | | | | # ANNUAL REPORTS FORM X-17A-5 PART III 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 6 1 / 0 / 20 2 5 AND ENDING /2 / 3/ 2 MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: TYPE OF REGISTRANT (check all applicable boxes): 2 Broker-dealer Security-based swap dealer Major security-based swap participant Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) (No. and Street) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING -1300 Socha (Email Address) (Name) (Area Code - Telephone Number) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* (Name - if individual, state last, first, and middle name) (State) (Zip Code) (City) 20 (Date of Registration with PCAOB)(if applicable) (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-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 OMB control number. {1}------------------------------------------------ ### PUBLIC #### OATH OR AFFIRMATION swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of for hy do be specialitie > Include por such as of 2 ( 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. Signature: Title: ### This filing \*\* contains (check all applicable boxes): - Ja) Statement of financial condition. - (b) Notes to consolidated statement of financial condition. - [c] Statement of income (loss) or, if there is other comprehensi…Read the full text as markdown