Full text of TOBIN & COMPANY SECURITIES LLC's X-17A-5 filed 2026-07-22 (period 2026-06-30). 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 Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 ## ANNUAL REPORTS FORM X-17A-5 PART III | SEC FILE NUMBER | |-----------------| |-----------------| OMB APPROVAL | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|----------------|--------------------------------------------|--| | FILING FOR THE PERIOD BEGINNING 07/01/2025 AND ENDING 06/30/2026 | | | | | | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME of FIRM: Tobin & Company Securities LLC | | | | | | 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.) | | | | | | 101 South Tryon Street, Suite 2700 | | | | | | | (No. and Street) | | | | | Charlotte | | North Carolina | 28280 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Justine Tobin | 704-334-2772 | | justine@tobinandco.com | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | Phillip V. George, PLLC | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 5179 CR 1026 | Celeste | | 75423 | | | (Address)<br>2.24.2009 | (City) | 3366 | (State)<br>(Lip 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 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 contained in this form are not required to respond unless the form displays a c…Read the full text as markdown