Full text of CW SECURITIES, LLC's X-17A-5/A filed 2026-06-05 (period 2025-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, O.C. 20549 | | 0MB APPROVAL<br>0MB Number: 3235-0123<br>EKplres: Nov. 30, 2026<br>Estimated average burden<br>hours per response: I~ | | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------|-----------------------|--------------------------------------------| | | ANNUAL REPORTS | | | SEC FILE NUMBER | | | FORM X-17A-5 | | | 8-65683 | | | PART Ill | | | | | Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934<br>FILING FOR THE PERIOD BEGINNING 01/01/2025 | FACING PAGE | AND ENDING 12/31/2025 | | | | | MM/DD/YY | | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | | NAME oF FIRM: CW Securities, LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>0 Broker-dealer<br>:J Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | D Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.} | | | | | | 8870 Cedar Springs Lane, Suite 208 | | | | | | | (No. and Street) | | | | | Knoxville | TN | | | 37923 | | (City) | (State) | | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Michael E. Cox | 8656909886 | | mcox@cwmanagement.com | | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | Rodefer Moss & Co, PLLC | | | | | | | (Name - if lndlviduai, state last. first, and middle name) | | | | | 608 Mabry Hood Road | Knoxville | TN | | 37932 | | (Address) | (City) | (State) | | (Zip.Code) | | 11/05/2003 | | 910 | | | | (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<br>account.int must be sup…Read the full text as markdown