Full text of J.M LUMMIS SECURITIES, INC.'s X-17A-5 filed 2026-04-23 (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** 0MB APPROVAL 0MB Number: 3235--0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill SEC FILE NUMBER 8-50435 **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 O 1/01/2025 | | AND ENDING 12/31/2025 | | | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------|-----------------------|--------------------------------------------|--|--| | | MM/DD/YY | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | NAME oF FIRM: J.M. Lummis Securities, Inc. | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>D Security-based swap dealer<br>D Major security-based swap participant<br>C!l Broker-dealer<br>0 Check here if respondent is also an OTC derivatives dealer | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 50 Locust Ave | | | | | | | | (No. and Street) | | | | | | New Canaan | CT | | 06840 | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Dave Lummis | 203-24 7-2406<br>DL@jmlummis.com | | | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | Ohab and Company, PA | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | 100 E Sybelia Ave Suite 130 Maitland | Fl | 32751 | | | | (Address) | (City) | (State) | (Zip Code) | | | | July 28, 2004 | | 1839 | I | | | | rte of Registcation with PCAOB)lif applicable) | | | (PCAOB Registrntion N"mbec, 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 inform…Read the full text as markdown