# GRIFFIN FINANCIAL GROUP, LLC X-17A-5 (2026-03-26) — Broker-dealer annual report - Company: GRIFFIN FINANCIAL GROUP, LLC - Form: X-17A-5 - Filed: 2026-03-26 - Period: 2025-12-31 - Accession: 0001146330-26-000001 - CIK: 1146330 - File #: 8-53711 - Type: Broker-dealer - Material weakness: No - Auditor: Tomasi & Company - Auditor location: Wyomissing, PA - Contact: John Durofchalk - Phone: 6104782134 - Email: john.durofchalk@griffinfingroup.com - Website: griffinfingroup.com - Signed by: John Durofchalk (CFO/FINOP) Original filing: https://www.sec.gov/Archives/edgar/data/1146330/000114633026000001/public_1.pdf --- {0}------------------------------------------------ | | UNITED STATES | | OMB APPROVAL | |----------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|---------|----------------------------------------------------| | | SECURITIES AND EXCHANGE COMMISSION | | OMB Number: 3235-0123
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hours per response: 12 | | | ANNUAL REPORTS | | SEC FILE NUMBER | | | FORM X-17A-5 | | 8-53711 | | | PART III | | | | | | | | | | FACING PAGE
Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | 1/1/2025 | | | | FILING FOR THE PERIOD BEGINNING | MM/DD/YY | | AND ENDING 12/31/2025
MM/DD/YY | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: Griffin Financial Group, LLC | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | Broker-dealer ☐ Security-based swap dealer
Check here if respondent is also an OTC derivatives dealer | | | Major security-based swap participant | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | 607 Washington Street | | | | | | (No. and Street) | | | | Reading | PA | | 19601 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | John Durofchalk | 610-478-2134 | | john.durofchalk@griffinfingroup.com | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing | | | | Tomasi & Company | | | | | | (Name - if individual, state last, first, and middle name) | | | | 1350 Broadcasting Road | Wyomissing | PA | 19601 | | (Address) | (City) | (State) | (Zip Code) | | 11/5/2006 | | 3651 | | | (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 bya 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}------------------------------------------------ ## OATH OR AFFIRMATION | 1. John Durofchalk | _, swear (or affirm) that, to the best of my knowledge and belief, the | |----------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------| | financial report pertaining to the firm of Griffin Financial Group, LLC | as of | | December 31 | ,2025, is true and correct. I further swear (or affirm) that neither the company nor any | | as that of a customer. | partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classified solely
Signature: /
FINOP | | This filing** contains (check all applicable boxes): | | | (a) Statement of financial condition. | | | ☐ (b) Notes to consolidated statement of financial condition. | | | comprehensive income (as defined in § 210.1-02 of Regulation S-X).
(d) Statement of cash flows. | (c) Statement of income (loss) or, if there is other comprehensive income in the period(s) presented, a statement of | | | | | | (e) Statement of changes in stockholders' or partners' or sole proprietor's equity. | - (f) Statement of changes in liabilities subordinated to claims of creditors. - ☐(g) Notes to consolidated financial statements. - (h) Computation of net capital under 17 CFR 240.15c3-1 or 17 CFR 240.18a-1, as applicable. - (i) Computation of tangible net worth under 17 CFR 240.18a-2. - (j) Computation for determination of customer reserve requirements pursuant to Exhibit A to 17 CFR 240.15c3-3. - (k) Computation for determination of security-based swap reserve requirements pursuant to Exhibit B to 17 CFR 240.15c3-3 or Exhibit A to 17 CFR 240.18a-4, as applicable. - (I) Computation for Determination of PAB Requirements under Exhibit A to § 240.15c3-3. - (m) Information relating to possession or control requirements for customers under 17 CFR 240.15c3-3. - (n) Information relating to possession or control requirements for security-based swap customers under 17 CFR 240.15c3-3(p)(2) or 17 CFR 240.18a-4, as applicable. - (o) Reconciliations, including appropriate explanations, of the FOCUS Report with computation of net capital or tangible net worth under 17 CFR 240.15c3-1, 17 CFR 240.18a-1, or 17 CFR 240.18a-2, as applicable, and the reserve requirements under CFR 240.15c3-3 or 17 CFR 240.18a-4, as applicable, if material differences exist, or a statement that no material differences exist. 17 - (p) Summary of financial data for subsidiaries not consolidated in the statement of financial condition. - (q) Oath or affirmation in accordance with 17 CFR 240.17a-5, 17 CFR 240.17a-12, or 17 CFR 240.18a-7, as applicable. - (r) Compliance report in accordance with 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable. - (s) Exemption report in accordance with 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable. - (t) Independent public accountant's report based on an examination of the statement of financial condition. - (u) Independent public accountant's report based on an examination of the financial report or financial statements under 17 CFR 240.17a-5, 17 CFR 240.18a-7, or 17 CFR 240.17a-12, as applicable. - (v) Independent public accountant's report based on an examination of certain statements in the compliance report under 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable. - (w) Independent public accountant's report based on a review of the exemption report under 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable. - 미 (x) Supplemental reports on applying agreed-upon procedures, in accordance with 17 CFR 240.15c3-1e or 17 CFR 240.17a-12, as applicable. - 미 (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)(3) or 17 CFR 240.18a-7(d)(2), applicable. as {2}------------------------------------------------ ## GRIFFIN FINANCIAL GROUP, LLC ## STATEMENT OF FINANCIAL CONDITION | | December 31, 2025 | | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------|---------------------------------------------------------------| | ASSETS | | | | Cash
Deposit with clearing organization
Receivable from clients
Prepaid expenses
Equipment, at cost, less accumulated depreciation of \$229,279
Other assets | ea | 1,405,921
109,785
179,000
554.492
16,311
1.231 | | TOTAL ASSETS | ಕಾ | 2,266,740 | | LIABILITIES AND MEMBER'S EQUITY | | | | LIABILITIES | | | | Accounts payable
Payable to broker-dealer and clearing organization
Payable to related party
Deferred revenue | S | 84,913
5,628
820,987
415,925 | | TOTAL LIABILITIES | | 1,327,453 | | MEMBER'S EQUITY | | 939,287 | | TOTAL LIABILITIES AND MEMBER'S EQUITY | ക | 2,266,740 | The Accompanying Notes Are An Integral Part of These Financial Statements Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.