# SCOTT T. TAYLOR, LTD. X-17A-5 (2026-03-13) — Broker-dealer annual report - Company: SCOTT T. TAYLOR, LTD. - Form: X-17A-5 - Filed: 2026-03-13 - Period: 2025-12-31 - Accession: 0001332774-26-000003 - CIK: 1332774 - File #: 8-67009 - Type: Broker-dealer - Material weakness: No - Auditor: NTT & Company, PLLC - Auditor location: Beaumont, TX - Contact: Scott T Taylor - Phone: 7136881849 - Email: scott@scottttaylor.net - Website: scottttaylor.net - Signed by: Scott T. Taylor (President) Original filing: https://www.sec.gov/Archives/edgar/data/1332774/000133277426000003/2025AuditSTTSEC_3.pdf --- {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-S PART** Ill SEC FILE NUMBER 8-67009 | | 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 /25 | 1 /25
AND ENDING 12/3 | | | | | | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME oF FIRM: Scott T Taylor | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):
0 Broker-dealer
D Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | □ Major security-based swap participant | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 14482 HILLSHIRE DR. | | | | | | | | (No. and Street) | | | | | | WILLIS | TX | | 77318 | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | SCOTT T TAYLOR | 713 688-1849 | | scott@scottttaylor.net | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*
NTT & Company, PLLC | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 5865 Mistloe Avenue | Beaumont | TX | 77707 | | | | (Address)
03/19/2019 | (City) | (State)
6543 | (Zip Code) | | | | | 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-S(e)(l)(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 0MB control number.** {1}------------------------------------------------ ### **OATH OR AFFIRMATION** | I, Scott T Taylor | , swea!,J_or_illirm) /hat, t
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Notary ID 135212678 | | '""' | President | Notary Public u #### **This filing\*\* contains (check all applicable boxes):** - I!!!! (a) Statement of financial condition . - ~ (bl Notes to consolidated statement of financial condition . - □ (cl Statement of income (loss) or, if there is other comprehensive income in the period(s) presented, a statement of comprehensive income (as defined in§ 210.1-02 of Regulation S-X). - □ (d) Statement of cash flows. - D (e) Statement of changes in stockholders' or partners' or sole proprietor's equity. - D (f) Statement of changes in liabilities subordinated to claims of creditors. - D (g) Notes to consolidated financial statements. - D (h) Computation of net capital under 17 CFR 240.15c3-1 or 17 CFR 240.18a-1, as applicable. - D (i) Computation of tangible net worth under 17 CFR 240.18a-2. - D (j) Computation for determination of customer reserve requirements pursuant to Exhibit A to 17 CFR 240.15c3-3. - □ (kl 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. - D (I) Computation for Determination of PAB Requirements under Exhibit A to§ 240.15c3-3. - D (m) Information relating to possession or control requirements for customers under 17 CFR 240.15c3-3. - D (nl 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. - D (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 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. - D (p) Summary of financial data for subsidiaries not consolidated in the statement of financial condition . - ~ (ql 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. - D (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. - D (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. - D (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. - D (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. - □ (x) Supplemental reports on applying agreed-upon procedures, in accordance with 17 CFR 240.1Sc3-le or 17 CFR 240.17a-12, as applicable. - D (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). D (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), as applicable. {2}------------------------------------------------ Scott **T.** Taylor, **LTD** Financial Statements and Supplemental Schedules Required by the U.S. Securities and Exchange Commission Including Independent Auditor's Report Thereon December 31, 2025 {3}------------------------------------------------ | Independent Auditor's Opinion 3 | | |--------------------------------------------------------------------------|--| | Financial Statements 4 | | | Statement of Financial Condition For the year ended December 31, 2025 4 | | | Statement of Operations 5 | | | Statement of Cash Flow 6 | | | Statement of Changes in Ownership Equity 7 | | | Footnotes to Financial Statements 8 | | | Supplementary Information Section 10 | | | Supplementary Computations 11 | | | Computation of Net Capital 11 | | | Computation of Net Capital Requirement 11 | | | Computation of Aggregate lndebtedness 11 | | | Computation of Reconciliation of Net Capital 11 | | | Supplementary Statements 12 | | | Statement Related to Uniform Net Capital Rule 12 | | | Statement Related to Exemptive Provision (Possession and Control) 12 | | | Supplementary Customer Protection Exemption Report 13 | | {4}------------------------------------------------ #### **REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM** To the Partner of Scott T. Taylor, LTD: #### **Opinion on Financial Statements** We have audited the accompanying statement of financial condition of Scott T. Taylor, LTD (the "Company") as of December 31 , 2025, and the related statements of income, partner's equity and cash flows for the year then ended, including the related notes (collectively referred to as "financial statements"). In our opinion, the financial statements present fairly, in all material respects, the financial position of the Company as of December 31 , 2025, and the results of its 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 the Company's management. Our responsibility is to express an opinion on the Company's financial statements based on our audit. We are a public accounting firm registered with the Public Company Accounting Oversight Board (United States) (PCAOB) and are required to be independent with respect to the Company in accordance with the U.S. federal securities laws and the applicable rules and regulations of the Securities and Exchange Commission and the PCAOB. We conducted our audit of these financial statements in accordance with the standards of the PCAOB. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free from material misstatement, whether due to error or fraud. Our 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. Our 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. We believe that the audit provides a reasonable basis for our opinion. #### **Report on Supplementary Information** The accompanying Net Capital Computations, Determination of Reserve Requirements and Possession & Control Requirements ("Supplementary Information") contained in the supplemental information section has been subjected to audit procedures performed in conjunction with the audit of the Company's financial statement. The supplemental information is the responsibility of the Company's management. Our audit procedures included determining whether the supplemental information reconciles with 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 our opinion on the supplemental information, we evaluated whether the supplemental information, including its form and content, is presented in conformity with Rule l 7a-5 under the Securities Exchange Act of 1934 and, if applicable, under Regulation 1.10 under the Commodity Exchange Act. In our opinion, the information contained in the Supplementary Information section is fairly stated, in all material respects, in relation to the financial statements as a whole. # NTT & Co-wipet,¥l)', p LLC Beaumont, Texas 2/7/2026 We have served as the auditor for Scott T. Taylor, LTD since 2022. {5}------------------------------------------------ ## Scott T. Taylor, LTD Financial Statements Statement of Financial Condition For the year ended December 31, 2025 #### **Assets** | Assets | | |--------------------------------------------|--------------| | Cash (FDIC Insured Demand Deposit Account) | \$
39,272 | | Prepaid expenses | 0 | | Accounts receivable | 17,502 | | Tota I Assets | \$
56.774 | | Liabilities and Members' Equity | | | Liabilities | | | | \$2,500 | | Accounts payable and accrued expenses | | | | 2,500 | | Total Liabilities | | | | | | Members' Equity | | | Members' equity | | | Total Members' Equity | \$
54.274 | | | | | Total Liabilities and Members' Equity | \$
56.774 | {6}------------------------------------------------ ## Scott T. Taylor, LTD Statement of Operations For the year ended December 31, 2025 | Revenues | | |--------------------------------|------------| | 12b-1 Fees | \$ 175,952 | | Revenue from Sale of Insurance | | | Based Products | | | Revenue from Sale of | | | Investment Company Shares | 3,143 | | | | | Total Revenue | 179,095 | | | | | | | | Expenses | | | Regulatory fees | 2,060 | | Professional fees | 10,303 | | Affiliate Expenses: | | | Rent Expense | 24,000 | | TPA fees qualified plans | 38,400 | | Other operating expenses | 0 | | | | | Total Expenses | 74,763 | | | | | Net Income | \$ 104,332 | {7}------------------------------------------------ ## Scott T. Taylor, LTD Statement of Cash Flow For the year ended December 31, 2025 | Cash Flows from Operating Activities | | |-------------------------------------------------|--------------| | Net Income | \$ 104,332 | | Adjustments to reconcile net income to net cash | | | provided (used) by operating activities: | | | Accounts receivable | (2,169) | | Increase in prepaid expenses | | | | | | Accounts payable | 250 | | | | | | | | Net cash provided by operating activities | 102,413 | | | | | | | | Cash Flows from Financing Activates | | | | | | Member draws | (115,000) | | | | | Net cash used by financing activities | (115,000) | | | | | Net increase in cash | (12,586) | | | | | Cash at beginning of year | 51,858 | | | | | Cash at end of year | \$
39.272 | | | | | | | | Cash Flows from Investing Activities | | | Investment Activities | .\$_____Q | | | | | Net cash from investment activities | __
o | | | | | Net increase in cash from investment activities | .\$_____Q | {8}------------------------------------------------ ## Scott T. Taylor, LTD Statement of Changes in Ownership Equity For the year ended December 31, 2025 | Balance at December 31, 2024 | \$
64,941 | |------------------------------|--------------| | Net income | 104,332 | | Member draws | (115,000) | | Balance at December 31, 2025 | \$
54,273 | {9}------------------------------------------------ ## Scott **T.** Taylor, **LTD** Footnotes to Financial Statements For the year ended December 31, 2025 #### **1. Summary of Significant Accounting Policies** Scott **T.** Taylor, Ltd (the "Company" ) is a broker-dealer in securities registered with the Securities and Exchange Commission ("SEC" ) and is a member of the Financial Industry Regulatory Authority ("FINRA" ). The Company operates under ("SEC" ) Rule 15c3-3(k)(l), which provides the Company' s operations are generally limited to transaction in mutual funds or insurance products. The Company is a Texas limited partnership that was formed in April 2005, and its customers are located throughout the United States. The financial statements of the Company have been prepared on the accrual basis of accounting in accordance with accounting principles generally accepted in the United States of America. Cash represents a FDIC insured demand bank account with 100% daily liquidity. No other assets are held by the company. The Company' s net income will be taxed at the member level rather than at the corporate level for federal income tax purposes . #### **2. Revenue Recognition** The Company adopted ASU 2014-09, Revenue from Contracts with Customers, (codified in ASC 606). The Company recognizes revenue when services are transferred to clients. Revenue is recognized based on the amount of consideration that management expects to receive in exchange for these services in accordance with the terms of the contract with the client. To determine the amount and timing of revenue recognition, the Company must (1) identify the contract with the client, (2) identify the performance obligations in the contract, (3) determine the transaction price, (4) allocate the transaction price to the performance obligations in the contract, and (5) recognize revenue when the Company satisfies a performance obligation #### **12b-1 Fees** The Company earns revenue from the sale of mutual funds and variable insurance contracts. The company has entered into selling agreements with various investment companies and insurance companies. The Company earns 12b-1 fees, which are fees paid to Broker Dealers, that are based on the average assets held in a mutual fund or a variable insurance contract over the determined period, as set forth in the relevant prospectus. The Company has entered into selling-agreements with sponsors of registered mutual funds or variable insurance contracts from which we receive 12b-1 fee revenue. The agreements set forth that the 12b-1 fees will be paid on the average value of assets under management for the period. The Company has met its obligations when the sale is made and has no further obligation in order to receive the fee, which is recognized at the end of each payment period. #### **Revenue from Sale of Insurance Based Products** The Company earns commissions from the sale of variable annuity and variable life contracts from Insurance Companies The amount of the remuneration is set forth in the relevant prospectus. The Company earns commissions from Insurance Companies based on the premiums paid, deposits made and or average assets held in such insurance contracts over the determined period, as set forth in the relevant prospectus . The Company has entered into selling-agreements with sponsors of such insurance contracts, which set forth the commissions that will be paid based on, premiums paid, deposits made and or the average value of assets in such contracts for the period. The Company has met its obligations when the fully underwritten contract is delivered and accepted by the insured and has no obligation to perform any activities to be due the commission, which is recognized upon delivery of the contract or at the end of each period {10}------------------------------------------------ #### **Revenue from the Sale of Investment Company Shares** - **Mutual Funds** The Company earns revenue from the sale of mutual funds . The company has entered into selling agreements with various investment companies. The Company earns commissions from Investment Companies based on set percentages of depos its made into those investment companies over the determined period, as set forth in the relevant prospectus. The Company has entered into sell ing-agreements with Investment Companies, which set forth the commissions that will be paid, which are a percentages of investment deposits made into those investment companies. The Company has met its obligations when the sale is made and has no obligation to perform any further activities to be due its concession, which is recognized and recorded when all parties of met their obligation . The Company manages its business within a single operating segment in accordance with ASC Topic 280 Segment Reporting ("ASC 280"). Operating segments are defined as components of an enterprise for which separate financial information is available and evaluated regularly by the chief operating decision maker (CODM), which is our Chief Executive Officer in deciding how to allocate resources and in assessing performance. Segment information is consistent with how management reviews the business, makes investing and resource allocation decisions and assesses operating performance. The CODM uses this information, which may be adjusted for items that are nonrecurring, as well as regularly provided budgeted or forecasted expense information for the single operating segment, in managing the business #### **3. Use of Estimates** The preparation of financial statements in conformity with accounting principles generally accepted in the United States of America requires management to make estimates and assumptions that affect the reported amount of assets and liabil ities and disclosure of contingent assets and liabilities and 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. #### **4. Related Party Transactions** - **Wealth Recovery, Inc. Plan Access, Ltd.** **Wealth Recovery, Inc.** - During the year Scott T. Taylor, Ltd paid Wealth Recovery, Inc. \$24,000 for rental of office space and equipment. There are no receivables or payables to or from Wealth Recovery, Inc. as of December 31, 2025. **Plan Access, Ltd** - During the year Scott T. Taylor, Ltd paid Plan Access, Ltd \$38,400 for Qualified Plan (TPA) services for clients of Scott T. Taylor, Ltd. There are no receivables or payables to or from Plan Access, Ltd. as of December 31, 2025. #### **5. Commitments and Contingencies** As of December 31, 2025, the Company had no commitments or contingencies. There are currently no asserted claims or legal proceedings against the Company, however, the nature of the Company's business subjects it to various claims, regulatory examinations, and other proceedings in the ordinary course of business. The ultimate outcome of any such action against the Company could have an adverse impact on the financial condition, results of operations, or cash flows of the Company. #### **6. Rent Expense** The rent expense for the year was \$24,000.00; the amount paid was for the lease of office space, use of office equipment and supplies. The lease can be canceled with 30-day notice by lessor or lessee #### **Income Taxes** Scott T. Taylor, Ltd is a Texas Limited Partnership and is taxed as a pass-through entity. Net income or loss is reportable for tax purposes by the partners personally. Accordingly, no federal income taxes are included in the accompanying financial statements #### **7. Subsequent Events** Management has evaluated subsequent events through February 7, 2025, the date of which the financial statements were avai lable to be issued and concluded that no subsequent events have occurred that would require recognition in the financial statements or disclosure in the notes to the financial statements {11}------------------------------------------------ # Supplementary Information Section Pursuant to SEA Rule 17a-5 of the Securities and Exchange Act of 1934 As of and for the year ended December 31, 2025 {12}------------------------------------------------ ## Scott T. Taylor, LTD Supplementary Computations Pursuant to SEA Rule 17a-5 of the Securities and Exchange Act of 1934 As of and for the year ended December 31, 2025 #### Computation of Net Capital | Total Stockholder's Equity
Allowable Subordinated Loans
Non-Allowable Assets
Haircuts on Securities Positions
Securities Haircuts
Undue Concentration Charges
Net Allowable Capital | | \$ 54,274
17,502
\$ 36,772 | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------|----------------------------------|-----------------------| | Computation of Net Capital Requirement | | | | | Minimum Net Capital Required as a Percentage of Aggregate Indebtedness
Minimum Dollar Net Capital Requirement of Reporting Broker/Dealer
Net Capital Requirement
Excess Net Capital | \$
\$
\$ | 5,000
6,000
\$ 31,772 | | | Computation of Aggregate Indebtedness | | | | | Total Aggregate Indebtedness
Percentage of Aggregate Indebtedness to Net Capital | \$ | | 2500
6.8% | | Computation of Reconciliation of Net Capital | | | | | Net Capital Computed and Reported on FOCUS IIA as of December 31, 2025
Adjustments
Increase (Decrease) in Equity
Increase (Decrease) in Subordinated Loans
(Increase) Decrease in Non-Allowable Assets
(Increase) Decrease in Securities Haircuts
(Increase) Decrease in Undue Concentration Charges
Net Capital per Audit | | \$31,772
\$ 31,772 | 0
0
0
0
0 | | Reconciled Difference | \$ | | 0 | There were no material differences reported as Net Capital in the audited computation of Net Capital and the brokerdealer's corresponding unaudited Part IIA of the FOCUS report required under Rule 15c3-l. {13}------------------------------------------------ ## Scott T. Taylor, LTD Supplementary Statements Pursuant to SEA Rule 17a-5 of the Securities and Exchange Act of 1934 As of and for the year ended December 31, 2025 ## Statement Related to Uniform Net Capital Rule The Company is a member of the FINRA and is subject to the SEC Uniform Net Capital Rule 15c3-l. This rule requires the maintenance of minimum net capital and requires that the ratio of aggregate indebtedness to net capital, both as defined, shall not exceed 1500% (15:1), or, during its first year of operations, 800% (8:1). Net capital and the related net capital ratio may fluctuate on a daily basis. At December 31, 2025, the Company had net capital of \$36,772 which was \$31,722 in excess of its required net capital of \$5,000. The Company's ratio of aggregate indebtedness to net capital was 6.8%. The Company has elected to use the basic computation method, as is permitted by the rule, which requires that the Company maintain minimum Net Capital pursuant to a fixed dollar amount or 6-2/3% percent of total aggregate indebtedness, as defined, whichever is greater, and does not, therefore, calculate its net capital requirement under the alternative reserve requirement method. ## Statement Related to Exemptive Provision (Possession and Control) The Company does not have possession or control of a customer' s funds or securities. There were no material inadequacies in the procedures followed in adhering to the Company's operating exemption and/or no exemption, as applicable, pursuant to 15c3-3(k)(l). {14}------------------------------------------------ ## Scott **T.** Taylor, **LTD** ## Supplementary Customer Protection Exemption Report Pursuant to SEA Rule 17a-S(d)(1)(i)(B)(2) Of the Securities and Exchange Act of 1934 As of and for the year ended December 31, 2025 {15}------------------------------------------------ ![](_page_15_Picture_0.jpeg) ### Supplementary Schedules Pursuant to SEA Rule 17a-5 Of the Securities and Exchange Act of 1934 For the Year-End December 31, 2025 Report of Independent Registered Public Accounting Firm Exemption Review Report Pursuant to 15c3-3 Exemption: 15c3-3(k)(l) Scott T. Taylor Scott T. Taylor, LTD 14482 Hillshire Drive Willis, TX 77318 Dear Scott T. Taylor: We have reviewed management's statements, included in the accompanying representation in the Exemption Report, in which Scott T. Taylor, LTD identified 15c3-3(k)(l) as the provision under 17 C.F.R. § 15c3-3(k) under which it claims exemption from 17 C.F.R. §240.15c3-3. Scott T. Taylor, LTD stated that it has met the 15c3-3(k)(l) exemption throughout the most recent fiscal year January 01 , 2025, through December 31 , 2025, without exception, or, with exception, as represented in the Exemption Report provided to us. Scott T. Taylor, LTD's management is responsible for compliance with the exemption provisions and its statements. Our 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 Scott T. Taylor, LTD's compliance with the exemption provisions. 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, we do not express such an opinion. Based on our review, we are 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 the provisions set forth in Rule 15c3-3 under the Securities Exchange Act of 1934. Beaumont, Texas 2/7/2026 {16}------------------------------------------------ Scott T. Taylor, LTD 14482 Hillshire Drive Willis, TX 77318 #### **Scott T. Taylor, LTD - Exemption Report** To: NTT & Company, PLLC 5865 Mistletoe Avenue Beaumont, TX 77707 Re: 17 C.F.R. § 240.15c3-3(k) Scott T. Taylor, LTD (the "Company") is a registered broker-dealer subject to Rule 17a-5 promulgated by the Securities and Exchange Commission (17 C.F.R. §240.17a-5, "Reports to be made by certain brokers and dealers"). This Exemption Report was prepared as required by 17 C.F.R. § 240.17a-5(d)(1) and (4). To the best of our knowledge and belief the Company states the following: - 1. The Company claimed an exemption from 17 C.F.R. § 240.15c3-3 under the following provisions of 17 C.F.R. § 240.15c3-3 (k): 15c3-3(k)(1). - 2. The Company met the identified exemption provisions in 17 C.F.R. § 240.15c3-3(k) throughout the most recent audit period, January 01, 2025 through December 31, 2025, without exception. SconT. TAYLOR, LTD . Taylor, do hereby affirm that to the best of my knowledge and belief, this Exemption Report, the period January 01, 2025 through December 31, 2025, is true and correct. Scott T. Taylor President Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.