# FAIRVIEW SECURITIES, INC. X-17A-5 (2026-04-23) — Broker-dealer annual report - Company: FAIRVIEW SECURITIES, INC. - Form: X-17A-5 - Filed: 2026-04-23 - Period: 2025-12-31 - Accession: 0000918189-26-000003 - CIK: 918189 - File #: 8-46868 - Type: Broker-dealer - Material weakness: No - Auditor: Ohab and Company, P.A. - Auditor location: Maitland, FL - Contact: Jason Sunderland - Phone: 917-873-1604 - Email: js@fairviewsecurities.com - Website: fairviewsecurities.com - Signed by: Jason Sunderland (CEO) Original filing: https://www.sec.gov/Archives/edgar/data/918189/000091818926000003/fvsecp.pdf --- {0}------------------------------------------------ OMB APPROVAL **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | OMB Number:3235-0123
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12 | | SEC FILE NUMBER | 8-46868 # **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
01/01/25
12/31/25 | | | | | | | | AND ENDING
FILING FOR THE PERIOD BEGINNING
MM/DD/YY | | MM/DD/YY | | | | | | A.
REGISTRANT IDENTIFICATION | | | | | | | | Fairview Securities, Inc.
NAME OF FIRM: | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):
H
Broker-dealer
Security-based
security-based
Major
swap dealer
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.) | | | | | | | | 154 Long Lots Road | | | | | | | | (No.
and Street) | | | | | | | | Westport | CT | | 06880 | | | | | (City) | (State) | | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | 212-427-3623
Jason T. Sunderland | | | js@fairviewsecurities.com | | | | | -
(Area Code
Telephone Number)
(Name) | | (Email Address) | | | | | | B.
ACCOUNTANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | Ohab and Company, PA | | | | | | | | -
individual,
if
(Name | state last,first,and | middle name) | | | | | | 100 E. Sybelia Ave., Suite 130 | Maitland | FL | 32751 | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | 07/28/2004 | | 1839 | | | | | | (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)(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 OMB control number.** {1}------------------------------------------------ #### OATH OR AFFIRMATION | I, Jason T. Sunderland | swear (or affirm) that,.to the
best
of
my knowledge and belief, the | |--------------------------------------------|------------------------------------------------------------------------------| | financial report pertaining to the firm of | Fairview Securities, Inc.
as of | | December
31
2025 | | **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 anyproprietary interest inany account classified solely as that of a customer.** *s T7* Chief Executive Officer **This filing\*\* contains (check all applicable boxes):** - **H (a) Statement of financial condition.** - **B (b) Notes to consolidated statement of financial condition.** - **(c) Statement ofincome (loss) or, if there is other comprehensive income inthe period(s)presented,a statement of comprehensive income (as defined in § 210.102 of Regulation S-X).** - **(d) Statement of cash flows.** - **0 (e|Statement of changes in stockholders' or partners' or sole proprietor's equity.** - **D, (f) Statement of changes in liabilities subordinated to claims of creditors.** - **@ fg) Notes to consolidated financial statements.** - **(h) Computation of netcapita! under 17 CFR 24Q.15c3-lor 17 CFR 240.18al,as applicable.** - **(i) Computation of tangible net worth under 17 CFR 240.18a-2.** - **(j) Computationfordetermination ofcustomer reserve requirements pursuant toExhibit A to 17 CFR 240.15c3-3.** - **(k) Computation for determination of security-based swap reserve requirements pursuant to Exhibit Bto17 CFR 240.15c3-3 or Exhibit A to 17 CFR 24Q.18a-4, as applicable,** - **(I) Computation for Determination of PA8 Requirements under Exhibit A to§ 240.15c3-3.** - **(m) information relating to possession or control requirements for customersunder 17 CFR 240.15c3-3.** - **(n) Informationrelatingto possession or controlrequirements for security-based swap customers under 17 CFR 240.15c3-3(p)(2) or 17 CFR 240.18a-4, as applicable.** - **O (o) Reconciliations,including appropriate explanations, of the FOCUS Report with computation of net capital or tangible net worth under 17 CFR 240.15c3-l,17 CFR 24G.I8a-l,or 17 CFR 240.18a-2,as applicable, and the reserve requirements under 17 CFR 24G.15c3-3 or17 CFR 240.18a-4,as applicable,if material differences exist. or a statement that no material differences exist.** - **(p) Summary of financial data for subsidiariesnot consolidated in the statementoffinandai condition,** - **B (q) Oath or affirmationin accordance with 17 CFR 240.17a-5,17 CFR 24Q.17a~12,or 17 CFR 240.I8a-7, as applicable.** - **O (r) Compliance reportinaccordance with 17 CFR 240.17a-5 or 17 CFR 240,18a 7, as applicable.** - **O (s) Exemption report in accordance with 17 CFR 240.17a-5 or 17 CFR 240.18a-7,as applicable.** - **O ft)Independent public accountant's report based on anexamination of the statement of financial condition,** - **B (u)Independentpublic accountant's report based on an examination of the financialreport or financial statements under 17 CFR 240.17a-5, 17 CFR 240.18a-7, or 17 CFR 240.17a-12,as appiicabie.** - **(v)Independent public accountant's report based on an examination of certain statements inthe compliance report under 17 CFR 240.17a-5 or 17 CFR 240.18a-7,as appiicabie.** - **B (w) Independent public accountant's report based on a review ofthe exemption report under 17 CFR 240.17a-5 or 17 CFR 240,18a 7,as applicable.** - **(x) Supplemental reports on applyingagreed-upon procedures,in accordance with 17 CFR 24Q.15c3-le or 17 CFR 24G.17a-12, as applicable.** - **(y) Report describing any material inadequacies found to exist or found to have existed since the date of the previous audit, or a statement that no material inadequacies exist, under 17 CFR 240.17a-12(k).** - **(z)Other; ,** - *\*\*To request confidential treatment of certain portions of this filing, see 17 CFR 240.17a-5(e}(3j or 17 CFR 240.18a-7(d){2), as applicable.* {2}------------------------------------------------ ![](_page_2_Picture_0.jpeg) **100 E. Sybelia Ave. Suite 130 Maitland, FL 32751** *Certified Public Accountants* **I mail: numy< olnibco.com** **Telephone 407-740-7311 Fax 407-740-6441** ### REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Stockholder of Fairview Securities, Inc. #### **Opinion on the Financial Statement** We have audited the accompanying statement of financial condition of Fairview Securities, Inc. as of December 31, 2025, and the related notes (collectively referred to as the "financial statement"). In our opinion, the financial statement presents fairly, in all material respects, the financial position of Fairview Securities, Inc as of December 31, 2025 in conformity with accounting principles generally accepted in the United States of America #### **Basis for Opinion** This financial statement is the responsibility of Fairview Securities, Inc.'s management. Our responsibility is to express an opinion on Fairview Securities, Inc.'s financial statement based on our audit. We are a public accounting firm registered with the Public Company Accounting Oversight Board (United States) (PCAOB) and are required to be independent with respect to Fairview Securities, Inc. in accordance with the US federal securities laws and the applicable rules and regulations of the Securities and Exchange Commission and the PCAOB We conducted our audit in accordance with the standards of the PCAOB. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statement is free of material misstatement, whether due to error or fraud. Our audit included performing procedures to assess the risks of material misstatement of the financial statement, whether due to error or fraud, and performing procedures that respond to those risks. Such procedures included examining, on a test basis, evidence regarding the amounts and disclosures in the financial statements. Our audit also included evaluating the accounting principles used and significant estimates made by management, as well as evaluating the overall presentation of the financial statements We believe that our audit provides a reasonable basis for our opinion —*d r* We have served as Fairview Securities, Inc. 's auditor since 2024. Maitland. Florida April 10, 2026 {3}------------------------------------------------ ## **FAIRVIEW SECURITIES, INC.** ## Statement of Financial Condition December 31, 2025 Assets | Cash | \$
44,608 | |-------------------------------------------------------|--------------| | Accounts Receivable | 14,198 | | Prepaid Expenses | 9,285 | | Total Assets | \$
68,091 | | | | | Liabilities and Stockholder's Equity | | | Liabilities | | | Accounts payable and accrued expenses | \$
40,510 | | Total Liabilities | 40,510 | | Stockholder's Equity | | | Common stock, no par value, 20,000 shares authorized, | | | 7,250 shares issued and outstanding | 145,000 | | Additional paid-in capital | 437,336 | | Accumulated (deficit) | (554,755) | | Total Stockholder's Equity | 27,581 | | Total Liabilities and Stockholder's Equity | \$
68,091 | The accompanying notes are an integral part of these financial statements. {4}------------------------------------------------ #### **FAIRVIEW SECURITIES, INC.** NOTES TO FINANCIAL STATEMENTS DECEMBER 31, 2025 ## **NOTE 1 – ORGANIZATION AND NATURE OF BUSINESS** Fairview Securities, Inc. ("Company") is a Connecticut Corporation formed November 12, 1993. The Company provides consulting and sales support services to Registered Investment Advisors. The Company is registered as a broker-dealer in securities transactions under the Securities Exchange Act of 1934. The Company is a member of the Financial Industry Regulatory Authority ("FINRA"), the Securities Investor Protection Corp. (SIPC), National Futures Association ("NFA"), registered as a Commodity Trading Advisor ("CTA"). The Company's business activities involve the private placement of securities and making introductions for referral income pursuant to written agreement. ## **NOTE 2 - SIGNIFICANT ACCOUNTING POLICIES** ## **Basis of Presentation** The Company's financial statements are prepared using the accrual method of accounting in accordance with accounting principles generally accepted in the United States of America (U.S. GAAP). ## **Cash** Cash consists of amounts denominated in US dollars. The Company does not, at any time, maintain cash in deposit accounts in excess of Federal Deposit Insurance Corporation ("FDIC") limits. The Company has not experienced any losses on such accounts. The Company considers all highly liquid investments with an original maturity of three months or less when purchased to be cash equivalents. ## **Accounts Receivable** The Company considers accounts receivable to be fully collectible; accordingly, no allowance for doubtful accounts is required. If amounts become uncollectible, they will be charged to operations when that determination is made. {5}------------------------------------------------ ### **FAIRVIEW SECURITIES, INC.** NOTES TO FINANCIAL STATEMENTS DECEMBER 31, 2025 ## **NOTE 2 – SIGNIFICANT ACCOUNTING POLICIES – CONTINUED** ## **Use of Estimates** The preparation of financial statements in conformity with U.S. generally accepted accounting principles require management to make estimates and assumptions that affect the reported amounts of assets and liabilities and disclosure of contingent assets and liabilities at the date of the financial statements. Actual results could differ from those estimates. ## **Fair Value** The Company has adopted the provisions of ASC Topic 820, Fair Value Measurements, which defines fair value, establishes a framework for measuring fair value in GAAP, and expands disclosures about fair value measurements. ASC 820 does not require any new fair value measurements, but it does provide guidance on how to measure fair value by providing a fair value hierarchy used to classify the source of the information. The fair value hierarchy distinguishes between assumptions based on market data (observable inputs) and an entity's own assumptions (unobservable inputs). The hierarchy consists of three levels: Level 1 - Quoted prices in active markets for identical assets or liabilities. Level 2 - Inputs other than Level 1 that are observable, either directly or indirectly, such as quoted prices for similar assets of liabilities; quoted prices in markets that are not active; or other inputs that are observable or can be corroborated by observable market data for substantially the full term of the assets or liabilities. Level 3 - Unobservable inputs that are supported by little or no market activity and that are significant to the fair value of the assets or liabilities. {6}------------------------------------------------ ## **FAIRVIEW SECURITIES, INC.** NOTES TO FINANCIAL STATEMENTS DECEMBER 31, 2025 ## **NOTE 2 – SIGNIFICANT ACCOUNTING POLICIES – CONTINUED** Certain financial instruments are carried at cost on the balance sheet, which approximates fair value due to their short-term, highly liquid nature. These instruments include cash and accounts payable. ## **Concentration of Credit Risk** Financial instruments that are potentially subject to concentrations of credit risk consist primarily of cash. All of the Company's cash is held at an FDIC insured bank. No credit risk in accounts receivable as deemed collectable. ## **Credit Losses** The Company follows ASC Topic 326, Financial Instruments – Credit Losses ("ASC 326"). ASC 326 impacts the impairment model for certain financial assets by requiring a current expected credit loss ("CECL") methodology to estimate expected credit losses over the entire life of the financial asset. Under the accounting update, the Company has the ability to determine that there are no expected credit losses in certain circumstances (e.g., based on the credit quality of the customer). The Company had accounts receivable as of 2024, \$197,368 and as of 2025 of \$14,198 respectively. ## **NOTE 3 – POSSESSION OR CONTROL REQUIREMENTS** The Company does not have any possession or control of a customer's funds or securities. There were no inadequacies in the procedures followed in adhering to the exemptive provisions of SEC rule 15c3-3(k). ## **NOTE 4 – COMMITMENTS AND CONTINGENCIES** The Company does not have any commitments or contingencies as of December 31, 2025. ## **NOTE 5 – SUBSEQUENT EVENTS** The Company has evaluated subsequent events through the date on which these financial statements were available to be issued. The Company did not identify any material subsequent events requiring adjustments to or disclosure in its financial statements. Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.