Full text of TRADITION SECURITIES AND DERIVATIVES LLC's X-17A-5 filed 2026-02-27 (period 2025-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### S TATEMENT OF F INANCIAL C ONDITION Tradition Securities and Derivatives LLC (A Wholly Owned Subsidiary of Tradition America Holdings, Inc.) December 31, 2025 With Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ | | UNITED STATES | | OMB APPROVAL | | |---------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------|----------------------------------------------------|--| | | SECURITIES AND EXCHANGE COMMISSION | | OMB Number: 3235-0123<br>Expires: Nov. 30, 2026 | | | | Washington, D.C. 20549 | | Estimated average burden<br>hours per response: 12 | | | | ANNUAL REPORTS | | SEC FILE NUMBER | | | FORM X-17A-5 | | | 8-43559 | | | | PART III | | | | | | | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | AND ENDING 12/31/25<br>filing for the period beginning 01/01/25 | | | | | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: Tradition Securities and Derivatives LLC | | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Broker-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.) | | | | | | 32 Old Slip - 28th Floor | | | | | | | (No. and Street) | | | | | New York | New York | | 10005 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | John Gangi | 212-791-6035 | | John.Gangi@Tradition.com | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing * | | | | | KPMG LLP | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | Two Manhattan West | New York | NY | 10001 | | | (Address) | (City) | (State) | (Zip Code) | | | 10/20/2003 | 185 | | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | | FOR OFFICIAL USE ONLY | | | | | | | | |…Read the full text as markdown