# BROCK SECURITIES LLC X-17A-5 (2026-03-02) — Broker-dealer annual report - Company: BROCK SECURITIES LLC - Form: X-17A-5 - Filed: 2026-03-02 - Period: 2025-12-31 - Accession: 0001178721-26-000002 - CIK: 1178721 - File #: 8-65467 - Type: Broker-dealer - Material weakness: No - Auditor: Ferrara CPA, LLC - Auditor location: Hamilton, NJ - Contact: Thomas Hopkins - Phone: 603-216-8933 - Email: cbrock@brockcapital.com - Website: brockcapital.com - Signed by: Charles L Brock (Managing Member) Original filing: https://www.sec.gov/Archives/edgar/data/1178721/000117872126000002/brock.pdf --- {0}------------------------------------------------ ### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** OMB APPROVAL OMB Number: ϯϮϯϱͲϬϭϮϯ Expires: EŽǀ͘ϯϬ͕ϮϬϮϲ Estimated average burden hours per response: # **ANNUAL REPORTS FORM X-17A-5 PART III** SEC FILE NUMBER 8-65467 **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 \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ AND ENDING \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ TYPE OF REGISTRANT (check all applicable boxes): ܆ Broker-dealer ܆ Security-based swap 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.) \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ (No. and Street) \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ (Name) (Area Code – Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ (Name – if individual, state last, first, and middle name) \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ (Address) (City) (State) (Zip Code) \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ (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 1/1/2025 12/31/2025 Brock Securities LLC 505 Park Avenue - 14th Floor New York NY 10022 Charles Brock 212-209-3000 cbrock@brockcapital.com Ferrara CPA, LLC 100 Horizon Center Blvd Hamilton NJ 08690 December 17, 2024 7259 - 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)(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 AFFICIALTION 1, Charles L. Brock Brock swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of Brock Securities LLC Comments and as as of 2, 2 025 . Is true and correct. I further swear (or affirm) that nelther the company nor any December 31 partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classified solely as that of a customer. Notary Public This filing\*\* contains (check all applicable boxes): - (a) Statement of financial condition. - [b] Notes to consolidated statement of financial condition. - (c) Statement of Income (loss) or, if there is other comprehensive in the period(s) presented, a statement of comprehensive income (as defined in § 210.1-02 of Regulation \$-X). - 2 (d) Statement of cash flows. - (e) Statement of changes in stockholders' or partners' or sole proprietor's equilty. - [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. - [] 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. - [1) 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. - [1] 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. - [0] Recordifiations, 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 17 CFR 240.15c3-3 or 17 CFR 240.18a-4, as applicable, if material differences exist, or a statement that no material differences exist. - O (p) Summary of financial data for subsidiaries not consolidated in the statement of financial condition. - (c) 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 accountent's report based on an examination of the 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 240.178-5 or 17 CFR 240.18a-7, as applicable. - (w) independent public accountent's report based on a review of the exemption report under 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable. - [x] Supplemental reports on applying agreed-upon procedures, in accordance with 17 CFR 240.17-12, 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 Inadequacles exist, under 17 CFR 240.17a-12(k). - O (z) Other .......... \*\* To request confidential treatment of certain portions of this filing, see 17 CFR 240.170-5(e)(3), as applicable. {2}------------------------------------------------ Brock Securities, LLC (A wholly owned subsidiary of MC Square Holdings, LLC)(SEC I.D. No. 8-65467) # Report Pursuant to Rule 17a-5 of The Securities and Exchange Commission Financial Statements and Supplemental Schedules As of and for the Year Ended December 31, 2025 (Including Report of Independent Registered Public Accounting Firm) {3}------------------------------------------------ # **BROCK SECURITIES LLC REPORT PURSUANT TO RULE 17a-5(d) DECEMBER 31, 2025** ## **Index December 31, 202** | Page(s) | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | Report of Independent Registered Public Accounting Firm………………………………………………1-2 | | Financial Statements | | Statement of Financial Condition 3 | | Statement of Operations 4 | | Statement of Changes in Member' Equity 5 | | Statement of Cash Flows 6 | | Notes to Financial Statements 7–10 | | Schedule I - Computation of Net Capital Under Rule 15c3-1 of the Securities and
Exchange Commission…………………………………………………………………………………….11 | | Schedule II - Computation for Determination of Reserve Requirements and Information Relating to Possession
or Control Requirements Under Rule 15c3-3 of the Securities and Exchange Act of 1934……………………12 | | Report of Independent Registered Public Accounting Firm Regarding Rule 15c3-3 Exemption 13 | | Schedule III –Rule 15c3-3 Exemption Report 14 | {4}------------------------------------------------ # **'FSSBSB\$1"** +RUL]RQ&HQWHU%OYG Hamilton, NJ 0869 **Tel:** 609- **)D[** # Report of Independent Registered Public Accounting Firm To: The Member **Brock Securities LLC** # **Opinion on the Financial Statements** I have audited the accompanying statement of financial condition of Brock Securities LLC as of December 31, 202, and the related statements of operations, changes in member equity and cash flows for the year then ended, that are filed pursuant to Rule 17a-5 under the Securities Exchange Act of 1934 and the related notes (collectively referred to as the financial statements). In my opinion, the financial statements present fairly, in all material respects, the financial position of Brock Securities LLC as of December 31, 202 and its results of operations and its cash flows for the year then ended in conformity with accounting principles generally accepted in the United States of America. # **Basis for Opinion** These financial statements are the responsibility of Brock Securities LLC's management. My responsibility is to express an opinion on Brock Securities LLC's financial statements based on my audit. I am a public accounting firm registered with the Public Company Accounting Oversight Board (United States) (PCAOB) and I am required to be independent with respect to Brock Securities LLC in accordance with the U.S. federal securities laws and the applicable rules and regulations of the Securities and Exchange Commission and the PCAOB. I conducted my audit in accordance with the standards of the PCAOB. Those standards require that I plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement, whether due to error or fraud. My audit included performing procedures to assess the risks of material misstatement of the financial statements, 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. My 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. I believe that my audit provides a reasonable basis for my opinion. # **Supplemental Information** The Schedule I, Computation of Net Capital Under SEC Rule 15c3-1, Schedule II, Computation for Identification of Reserve Requirements and Information Relating to Possession or Control Requirements Under SEC Rule 15c3-3 (*exemption*) has been subjected to audit procedures performed in conjunction with the audit of Brock Securities LLC's financial statements. {5}------------------------------------------------ The supplemental information is the responsibility of Brock Securities LLC's management. My audit procedures included determining whether the supplemental information reconciles to the financial statements or the underlying accounting and other records, as applicable, and performing procedures to test the completeness and accuracy of the information presented in the supplemental information. In forming my opinion on the supplemental information, I evaluated whether the supplemental information, including its form and content, is presented in conformity with 17 C.F.R. §240.17a-5. In my opinion, the Schedule I, Computation of Net Capital Under SEC Rule 15c3-1, Schedule II, Computation for Identification of Reserve Requirements and Information Relating to Possession or Control Requirements Under SEC Rule 15c3-3 (*exemption*) is fairly stated, in all material respects, in relation to the financial statements as a whole. # )HUUDUD&3\$ I have served as Brock Securities LLC's auditor since 20. )HUUDUD CPA Hamilton, New Jersey February , 202 {6}------------------------------------------------ # **BROCK SECURITIES LLC STATEMENT OF FINANCIAL CONDITION DECEMBER 31, 2025** ### ASSETS | Cash | | \$ 130,158 | |--------------|--------------|---------------| | Other assets | | 3,412 | | | Total Assets | \$
133,570 | ### LIABILITIES AND MEMBER EQUITY | Accrued expenses | 95,205 | |---------------------------------------|------------| | Total Liabilities | 95,205 | | Commitments and contingencies (Note ) | | | Member equity | 38,365 | | Total Liabilities and Member Equity | \$ 133,570 | {7}------------------------------------------------ # **BROCK SECURITIES LLC STATEMENT OF OPERATIONS FOR THE YEAR ENDED DECEMBER 31, 2025** | Expenses: | | |----------------------------------|-----------------| | Compensation and benefits | 74,950 | | Occupancy and Equipment Expense | 35,129 | | Professional and consulting fees | 102,543 | | Data and communication costs | 38,553 | | Regulatory Fees | 4,831 | | Other | 11,555 | | Total Expenses | 267,561 | | | | | Net Loss | \$
(267,561) | {8}------------------------------------------------ # **BROCK SECURITIES LLC STATEMENT OF CHANGES IN MEMBER EQUITY FOR THE YEAR ENDED DECEMBER 31, 2025** | Balance at January 1, 2025 | \$
97,567 | |------------------------------|--------------| | Capital contributions | 50,000 | | Debt to equity conversion | 158,359 | | Net loss | (267,561) | | Balance at December 31, 2025 | \$
38,365 | {9}------------------------------------------------ # **BROCK SECURITIES LLC STATEMENT OF CASH FLOWS FOR THE YEAR ENDED DECEMBER 31, 2025** # Cash flows used by operating activities: | Net loss | \$
(267,561) | |-------------------------------------------------------------------|-----------------| | Adjustments to reconcile net loss to
net cash used activities: | | | (Increase) decrease in assets: | | | Other assets | 7,354 | | Increase / (decrease) in liabilities: | | | Accrued expenses | (4,975) | | Due to related party | 146,703 | | Net cash used by operating activities | (118,479) | | Cash flows provided by financing activities: | | | Capital contributions | 50,000 | | 'HFUHDVH in cash | (68,479) | | Cash at beginning of the year | 198,637 | | Cash at end of the year | \$
130,158 | | SUPPLEMENTAL DISCLOSURE OF NONCASH ACTIVITY: | | | Related party payable converted to capital | \$
158,359 | {10}------------------------------------------------ # **BROCK SECURITIES LLC NOTES TO FINANCIAL STATEMENTS DECEMBER 31, 2025** ### **NOTE 1 – ORGANIZATION AND OPERATIONS:** Brock Securities LLC (The "Company"), a limited liability company, was organized in the state of Delaware on July 13, 2002. The Company is a securities broker-dealer registered with the Securities and Exchange Commission (SEC) and is a member of the Financial Industry Regulatory Authority, Inc. (FINRA) and the Securities Investor Protection Corporation (SIPC). The Company's activities are subject to significant risks and uncertainties, including the risk and uncertainty that planned operations do not materialize as planned. ### **LIQUIDITY MATTERS** The Company has incurred operating losses and has funded its operations through capital contributions. Management believes that the Company's current cash balance together with additional capital and projected revenue will be sufficient to fund the Company's operating plan for at least 12 months following the issuance of these financial statements. In addition, 0DQDJHPHQW has indicated its intent to provide immediate additional capital contributions, as needed, which management believes will enable the Company to continue its operations. ### **NOTE 2 – SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES:** ### **Basis of Accounting** The accompanying financial statements have been prepared on the accrual basis of accounting in accordance with accounting principles generally accepted in the United States of America. ### **Use of Estimates** The preparation of financial statements in accordance with accounting principles generally accepted in the United States of America requires management to make estimates and assumptions that affect the reported amounts of assets and liabilities and the disclosure of contingent assets and liabilities at the date of the financial statements and the reported amounts of revenues and expenses during the reporting period. Actual results could differ from those estimates. #### **NOTE 3 - NET CAPITAL:** As a broker-dealer, the Company is subject to the Securities and Exchange Commission's regulations and operating guidelines, which requires the Company to maintain a specified amount of net capital, as defined, and a ratio of aggregate indebtedness to net capital, as derived, not exceeding 15 to 1. The Company's net capital, as computed under Rule 15c3-1, was \$34,953 at December 31, 2025, which exceeds required net capital of \$6,347 by \$28, 606. The Company limits its business activities pursuant to footnote 74 to SEC Release 34-70073, and as discussed in Q & A 8 of the related FAQ issued by SEC staff. Accordingly, there are no items to report under the requirements of this Rule. {11}------------------------------------------------ ### **BROCK SECURITIES LLC NOTES TO FINANCIAL STATEMENTS DECEMBER 31, 2025** ### **NOTE 4 – SIGNIFICANT GROUP CONCENTRATION OF RISK:** In the normal course of business, the Company enters into financial transactions where the risk of potential loss due to changes in the market (market risk) or failures of the other parties to the transaction to perform (counterparty risk) exceeds the amounts recorded for the transaction. The Company's policy is to continuously monitor its exposure to the market and counterparty risk through the use of a variety of financial, position and credit exposure reporting and control procedures. In addition, the Company has a policy of reviewing the customers and/or other counterparties with which it conducts business. The Company maintains cash balances at financial institutions that, at various times, may exceed the amount insured by the Federal Deposit Insurance Corporation. ### **NOTE 5 – RELATED PARTY TRANSACTIONS:** The Company has an expense sharing agreement with the Parent to share the personnel, administrative service and use of office space related to the Company's operation. As of December 31, 2025, the Company owed the parent \$0. During 2025, the Company incurred fees of \$128,105. The Company accounts for its lease arrangement through the expense sharing agreement as a shortterm lease and does not recognize a right of use asset nor corresponding liability. During 2025, the Company received a capital contribution in the form of an accounts payable forgiveness and a cash contribution from its Parent in the amount of \$208,359. ### **NOTE 6 – PROVISIONS FOR INCOME TAXES:** The Company was organized as a sole member LLC and as such, no provision for federal and state taxes have been made since the Company in not a taxable entity. The member is liable for the taxes on the Company's income or loss. The Company follows the Income Taxes Topic of the FASB Accounting Standards Codification, which provides guidance for how uncertain tax provisions should be recognized, measured, disclosed and presented in the financial statements. This requires the evaluation of the tax positions taken or expected to be taken in the course of preparing the Partnership's tax returns to determine whether the tax positions are "more-likely-than-not" of being sustained "when challenged" or "when examined" by the applicable tax authority. Tax positions not deemed to meet the more-likely-than-not threshold would be recorded as a tax benefit or expense and liability in the current year. For the year ended December 31, 2025 management has determined that there are no material uncertain income tax positions. ### **NOTE 7 – COMMITMENTS AND CONTINGENCIES:** The Company had no underwriting commitments, no contingent liabilities and had not been named as defendant in any lawsuit at December 31, 2025 or during the year then ended. {12}------------------------------------------------ ### **BROCK SECURITIES LLC NOTES TO FINANCIAL STATEMENTS DECEMBER 31, 2025** ### **NOTE 8 – Litigation** From time to time the Company is the subject of litigation and inquires from Regulatory Agencies (various routine and special examinations) and arbitration claims. To date no proceedings have been brought by the Regulator with respect to any inquiry or other matter. ### **NOTE 9 – Segment Reporting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±68%6(48(17(9(176** 7KH &RPSDQ\ KDV HYDOXDWHG DOO HYHQWV RU WUDQVDFWLRQV WKDW RFFXUUHG DIWHU 'HFHPEHU WKURXJK WKH GDWH WKDW WKHVH ILQDQFLDO VWDWHPHQWV ZHUH LVVXHG 'XULQJWKLV SHULRGWKHUHZHUH QR PDWHULDOVXEVHTXHQWHYHQWVUHTXLULQJGLVFORVXUH {13}------------------------------------------------ ### **BROCK SECURITIES LLC COMPUTATION OF NET CAPITAL AND AGGREGATED INDEBTEDNESS PURSUANT TO RULE 15c3-1** ### **DECEMBER 31, 2025** Schedule I # COMPUTATION OF NET CAPITAL UNDER RULE 15c3-1 OF THE SECURITIES AND EXCHANGE COMMISSION | NET CAPITAL | | |-----------------------------------------------------|--------------| | Total Member's Equity | \$
38,365 | | | | | DEDUCTIONS AND/OR CHANGES | | | Non-allowable assets | 3,412 | | NET CAPITAL | 34,953 | | Less: Minimum net capital requirements at 6 2/3% of | | | aggregated indebtedness (\$5,000 if higher) | 6,347 | | | | | EXCESS NET CAPITAL | \$
28,606 | | | | | AGGREGATED INDEBTEDNESS | \$
95,205 | | | | | RATIO OF AGGREGATED INDEBTEDNESS TO NET CAPITAL | 2.72 | #### STATEMENT PURSUANT TO PARAGRAPH (D)(4) OF RULE 17A-5 No material differences exist in net capital, as reported in the Company's Part IIA (unaudited) FOCUS report as of December 31, 2025. {14}------------------------------------------------ ## **Brock Securities LLC** # **Computation for Determination of Reserve Requirements and Information Relating to Possession or Control Requirements Under Rule 15c3-3 of the Securities and Exchange Act of 1934 December 31, 202** ## SCHEDULE II The Company does not hold customers' cash or securities and, therefore, has no obligations under SEC Rule 15c3-3 pursuant to Footnote 74 of SEC Release 34-70073 under the Securities Exchange Act of 1934. {15}------------------------------------------------ # **'FSSBSB\$1"** +RUL]RQ&HQWHU%OYG Hamilton, NJ 0869 **Tel:** 609- **)D[** # REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM # To: The Member **Brock Securities LLC** I have reviewed management's statements, included in the accompanying Rule 15c3-3 Exemption Statement, in which (1) Brock Securities LLC (the "Company") stated that the Company UHOLHVRQ )RRWQRWH RIWKH 6(&5HOHDVH 1R DGRSWLQJ DPHQGPHQWVWR &)5 D EHFDXVH WKH FRPSDQ\ OLPLWV LWV EXVLQHVV DFWLYLWLHV H[FOXVLYHO\ WR SULYDWH SODFHPHQW YDULDEOH DQQXLW\FRQWUDFWVSULYDWHSODFHPHQWOLIHLQVXUDQFHFRQWUDFWVDQGUHODWHGFRQVXOWLQJRSHUDWLRQVLI DQ\ and (2) the Company stated that it had no exceptions under SEC Rule 15c3-3 throughout the year ended December 31, 202. The Company did not directly or indirectly receive, hold or otherwise owe funds or securities for or to customers, RWKHU WKDQ PRQH\ RU RWKHU FRQVLGHUDWLRQ UHFHLYHG DQG SURPSWO\ WUDQVPLWWHG LQ FRPSOLDQFH ZLWKSDUDJUDSK D . Management is responsible for compliance with 17 C.F.R. § 240. 15c3-3 and its statements. My review was conducted in accordance with the standards of the Public Company Accounting Oversight Board (United States) and, accordingly, included inquiries and other required procedures to obtain evidence about the Company's compliance with 17 C.F.R. § 240. 15c3-3. A review is substantially less in scope than an examination, the objective of which is the expression of an opinion on management's statements. Accordingly, I do not express such an opinion. Based on my review, I am not aware of any material modifications that should be made to management's statements referred to above for them to be fairly stated, in all material respects, based on Rule 15c3-3 under the Securities Exchange Act of 1934. *)HUUDUD&3\$* )HUUDUD CPA Hamilton, New Jersey February 2, 202 {16}------------------------------------------------ #### BROCK SECURITIES LLC CART CONPERORT DECEMBER 31, 2825 #### SCHEDITE IT We, as members of management of Brock Securities LLC ("Company"), are responsible for compliance with the annual reporting requirements of 17a-5 of the Securities and Exchange Commission Act of 1934. Those requirements compel a broker or dealer to file annual reports with the Securities Exchange Commission (SEC) and the broker or dealer's designated examining authority. Management of the Company hereby makes the following assertions: - · The Company does not claim an exemption under the exemption provisions of SEC Rule 15c3-3, but is exempt in reliance on footnote 74 to SEC Release 34-70073, (the "Identified Exemption"), dated July 30, 2013, and as discussed in Q&A 68 of the related FAQ issued by SEC staff on April 4, 2014. - · The Company is filing this Exemption Report relying on Footnote 74 of the SEC Release No. 34-70073 adopting amendments to 17 C.F.R. § 240.17a-5 because the Company limits its business activities exclusively to receiving transaction-based compensation for identifying potential merger and acquisition opportunities for clients and readering fairness opinions; and the Company did not directly or indirectly receive, hold, or otherwise owe funds or securities for or to customers, (other than money or other consideration received and promptly transmitted in compliance with paragraph (a). - · The Company had no exceptions under SEC Rule 15c3-3 throughout the year-ended December 31, 2025. Brock Securities, LLC I, Charles L. Brock affirm that, to my best knowledge and belief, this Exemption Report is true and correct. By: 14 Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.