Full text of J.W. COLE FINANCIAL, INC.'s X-17A-5 filed 2026-03-30 (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 OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # ANNUAL REPORTS FORM X-17A-5 PART III - | Salo Ani 1858 Stiplian | | |------------------------|--| | | | | SEC FILE NUMBER | | | | | 8-65698 | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|------|-----------------|--------------------------------------------|--| | AND ENDING 12/31/25<br>Filing for the period beginning 01/01/25 | | | | | | | | MM/DD/YY | | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: J.W. COLE FINANCIAL, INC. | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br> Broker-dealer Security-based swap dealer Major security-based swap participant<br>Check here if respondent is also an OTC derivatives dealer | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 4301 ANCHOR PLAZA PARKWAY, SUITE 450 | | | | | | | | (No. and Street) | | | | | | TAMPA | ւ | | | 33634 | | | (City) | (State) | | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | FERNANDO FUSSA | 813-935-6776 | | | FERNANDO.FUSSA@JW-COLE.COM | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | B. Accountant IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | DEJOY & CO. CPAS, LLP | | | | | | | 280 E. Broad St., Suite 300 ROCHESTER | (Name - if individual, state last, first, and middle name) | | NY | 14604 | | | (Address) | (City) | | (State) | (Zip Code) | | | 02/18/2004 | | 1069 | | | | | (Date of Registration with PCAOB)(if applicable) | FOR OFFICIAL USE ONLY | | | (PCAOB Registration Number, if applicable) | | \* Claims for exemption from the requirement that the annual 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)(1)(ii), if applicable. Persons who are to respond to the collection of information cont…Read the full text as markdown