Full text of REGIONAL BROKERS, INC.'s X-17A-5 filed 2026-04-13 (period 2025-12-01). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES | | | | | |---------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------|-------------------------------|--|--| | | SECURITIES AND EXCHANGE COMMISSION | 0MB Number. 3235-0123<br>Expires: Nov. 30,2026<br>Estimated average burden<br>hours per response: 12 | | | | | | | SEC FILE NUMBER | | | | | | FORM X-17A-5 | | | | | | | PART Ill | | | | | | FILING FOR THE PERIOD BEGINNING 01/01/2025 | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | AND ENDING 12/31/2025 | MM/DD/YY | | | | | MM/DD/YY | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME oF FIRM: Regional Brokers, Inc | | | | | | | 0 Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | □ Major security-based swap participant | | | | | 2510 Lockleigh Rd | | | | | | | | (No. and Street) | | | | | | Jamison | PA | | 18929 | | | | (dty) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Anthony Boccella | 215-979-8960 | | tboccella@regionalbrokers.com | | | | (Name) | (Area Code-Telephone Number) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | RW Group LLC | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | (Name-if individual, state last; first, and middle name) | | | | | | 114 Cambridge Rd | Landen berg | PA | 19350 | | | | (Address) | (dty) | (State) | (Zip Code) | | | | 2/23/2010 | | 5020 | | | | | (Date of Re istration with PCAOB if a | licable<br>FOR OFFICIAL USE ONLY | PCAOB Re ·stration Number if a | licable | | | • daims 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)(1)lii), if applicable. **Persons who are to respond to the collection of Information contained** In **this form ere not required to respond unless the** form **displays a currently valid 0MB control number.** {1}---------------…Read the full text as markdown