# PLEXUS ENERGY CAPITAL, LLC X-17A-5 (2026-01-28) — Broker-dealer annual report - Company: PLEXUS ENERGY CAPITAL, LLC - Form: X-17A-5 - Filed: 2026-01-28 - Period: 2025-12-31 - Accession: 0001344186-26-000001 - CIK: 1344186 - File #: 8-67155 - Type: Broker-dealer - Material weakness: No - Auditor: Ohab and Company, PA - Auditor location: Maitland, FL - Contact: Tara Lee - Phone: 3032637779 - Email: wwilliamson@plexuscapital.com - Website: plexuscapital.com - Signed by: Wayne Williamson (Managing Member) Original filing: https://www.sec.gov/Archives/edgar/data/1344186/000134418626000001/audit.pdf --- {0}------------------------------------------------ UNITED STATES SECURITIES ANO EXCHANGE COMMISSION Washington, D.C 20549 | ANNUAL REP.ORTS | | | | | |-----------------|--|--|--|--| | FORM X-17A-5 | | | | | | PART 1H | | | | | | 0MB Number. 3235-0123 | |---------------------------| | Expires: Nov. 30, 2026 | | Estimated average burden | | hours per response:
12 | | SEC FILE NUMBER | | | FORM X-17A-5 | | B-&t155 | | | | |--------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|-----------------------------------|--|--|--| | | PART 1H | | | | | | | f
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bmatlon Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 I!] Broker-dealer
D Oiedc here if respondent is also an OTC d~ivatives dealer | D Security-based swap dealer | □ Major security-based swap participant | | | | | | ADDRESS Of PRINOPAL PIACE OF BUSINESS: (Do not use a P .0 | . box no.) | | | | | | | 8859 W Crestline Drive | | | | | | | | | ( No. and Street) | | | | | | | Littleton | co | | 80123 | | | | | (City) | (State) | | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Wayne Williamson | 303-263-7779 | wwilliamson@plexuscapital.com | | | | | | (Name) | (Area Code-Telephone Number) | (Email Address) | | | | | | | 8. A-CCOUNTANT IDENTIFICATION | | | | | | | OfPf DfNTPU8UCACCOUNTANTwhose reports are contained in this filing• | | | | | | | | OHAB AND COMPANY, PA | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | 1 oo E Sybelia Ave, Suite 130 | Maitland | FL | 32751 | | | | | (Addr~) | (Cltv) | (State) | (Zip Code) | | | | | July 28, 2004 | | 1839 | | | | | | (Date of | | PCAOB | istration Number if a
licablel | | | | • Oaims fur exemption from the requirement that the annual reports be covered by the reports of an independent public aocountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. *5ee* 17 O:R 240.17a-S(e)(l)(ii), if applicable. **Persons wboare** t-o respond to the collecticln of infonmtlon **contained** In thJs form are not required to r,espond unless the form ...,.. • **currendy valid 0MB** con.trot ~r. {1}------------------------------------------------ ### OATH OR AFFIRMATION | I, Wayne Williamson | swear (or affirm) that, to the best of my knowledge and belief, the | | |-----------------------------------------------------------------------|---------------------------------------------------------------------|-------| | financial report pertaining to the firm of Plexus Energy Capital, LLC | | as of | December 31 2~ is true and correct. I further swear ( or affirm) that neither the company nor any partner. officer, d irector, or equivalent person, as the case may be, has any proprietary interest in any account classified solely .as that of a .:ustomer. Trtle: Managing Member #### **This filing+• contains ,(check all applicable boxes):** - ii {a) Statement of financial condition. - D **(b) Notes** to consolidated statement of financial condition. - ii (c) 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. - ~ {e) statement of changes in stockholdets' or partners' or sole proprietor's equity. - □ **(f)** Statement of changes in liabilities subordinated to claims of creditors. - ~ **(gJ Notes** to consolidated financial statements. - iiii (h) Computation of net capital under 17 CFR 240.15c3-1 or 17 CFR 240.18a-1, as applicable. - O (i) Computation of tangible net worth under 17 CFR 240.18a-2. - iiii (11 Computation for detetmination of customer reserve requirements pursuant to Exhibit A to 17 CFR 240.15c3-3. - O **(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 OH 240.18a-4, as applicable. - □ **(f)** Computation for Oetennination of PAB Requirements under Exhibit A to§ 240.15c3-3. - ii (m) **Information** relating to possession or control requirements for customers under 17 CFR 240.15c3-3. - □ **(nJ Information** relating to possession or control requirements for security-0ased swap customers under 17 CFR 240.1Sc3-3{p}(2) or 17 O:R 240.18a-4, as applicable. - ~ (oJ Reconciliations, induding 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 G R 240.18a-2, as applicable, and the reserve requirements under 17 a=R 240.l5c3-3or 17 CFR 240.tBa-4, as applicable, if material differences exist, or a statement that no material differences exist. - O **(p) summary** of financial data for subsidiaries not consolid.ated in the statement of financial condition. - iii (q} Oath or affumation in accordance with 17 CFR 240.17a-5, 17 CFR 240.17a-12, or 17 CFR 240.t&a-7, as applicable. - □ (,jc.omplianc.e report in accordance with 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable. - ii (s) Exemption report in accordance with 17 GR 240.17a-5 or 17 CFR 240.18a-7, as applicable. - D (t) Independent public accountant's report based on an examination of the statement of financial condition. - ii (u) Independent public accountant's ~eport based on an examination of the financial report or financial statements under 17 CFR 240.17.a-5, 17 Cffi 240.18a-7, or 17 CfR 240.17a-12, as applicable. - 0 M **Independent** public accountant's report based on an examination of certain statements in the compliance report under 17 CFR 240.17a-5 or 17 Cfft 240.18a-7, as applicable. - ii (w) Independent public accountant's report based on a review of the exemption report under 17 CFR 240.17a-5 or 17 *Certified Public Accountants* I m.111 p~m ,, nh;1h.:(1 ~nm Tc:lcphonc 407-740-7311 Fax 407-740-6441 #### REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Members of Plexus Energy Capital. LLC #### **Opinion on the Financial Statements** We have audited the accompanying statement of financial cond1t1on of Plexus Energy Capital, LLC as of December 31 , 2025. the related statements of operations, changes In members' equity, and cash flows for the year then ended, and the related notes (collectively referred to as the "financial statements"). In our opinion, the financial statements present fairly, in all material respects, the financial position of Plexus Energy Capital. LLC as of December 31 , 2025, and the results of its operations and its cash flows for the year then ended in conforrrnty with accounting pnnc1ples generally accepted in the United States of America. #### **Basis** for Opinion These financial statements are the responsibility of Plexus Energy Capital, LLC management. Our responSJbility is to express an opinion on Plexus Energy Capital, LLC'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 Plexus Energy Capital, 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. We conducted our audit 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 of material misstatement, whether due to error or fraud Our audit included performing procedures to assess the nsks 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 pnncIples used and significant estimates made by management, as well as evaluating the overall presentation of the financial statements. We believe that our audit provides a reasonable basis for our opinion. #### **Auditor's Report on Supplemental Information** The Schedule I, Supplemental Schedule of Computation of Net Capital Minimum Net Capital Required, and Aggregate Indebtedness and Schedule 11 , Computation for Determination of Reserve Requirements for Brokers and Dealers Pursuant to Rule 15c3-3 have been subjected to audit procedures performed in conjunction with the audit of Plexus Energy Capital, LLC's financial statements. The supplemental information is the responsibility of Plexus Energy Capital, LLC's management. Our audit procedures included determining whether the supplemental 1nformatJon 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 our opinion on the supplemental information, we evaluated whether the supplemental information, including its form and content, is presented in conformity with 17 C. F .R §240.17a-5. In our opinion, the Schedule I, Supplemental Schedule of Computation of Net Capital Minimum Net Capital Required, and Aggregate Indebtedness and Schedule 11 , Computation for Determination of Reserve Requirements for Brokers and Dealers Pursuant to Rule 15c3-3 is fairly stated, in all material respects. in relation to the financial statements as a whole. ~ ~ **~..-fa** I ()f,' We have served as Plexus Energy Capital, LLC's auditor since 2020. Maitland, Florida January 23, 2026 {5}------------------------------------------------ ## PLEXUS ENERGY CAPITAL. LLC ## ST A TEMENTS OF FfNANCIAL CONDITION #### ASSETS | | ,
DECEMBER 31 | | |-----------------------------------------------------------------|-------------------|--| | | 2025 | | | CURRENT ASSET:
Cash and cash equivalents
Prepaid Expenses | \$
30,944
0 | | | TOT AL ASSETS | \$
30,944 | | #### LIABILITIES AND MEMBERS' EQUITY | CURRENT LIABILITIES:
Due to related party | \$ | |----------------------------------------------|--------------| | MEMBERS' EQUITY | 30,944 | | TOTAL LIABILITIES AND MEMBERS' EQUITY | \$
30,944 | The accompanying notes are an integral part of these financial statements. {6}------------------------------------------------ ## PLEXUS ENERGY CAPITAL, LLC ## STATEMENTS OF OPERA TIO NS | | YEAR ENDED
DECEMBER 31
,
2025 | | |--------------------------------------------------|----------------------------------------|----------| | | | | | | | | | REVENUES: | | | | Engagement fees | \$ | | | OPERA TING EXPENSES: | | | | Salaries and benefits | | | | Consulting expense | | | | Contract services | | 9,000 | | Professional fees | | 8,037 | | Overhead charges paid to related entity (Note C) | | 1,100 | | Other operating expenses | | 1,434 | | | | 19,571 | | NET INCOME (LOSS) | | (19,571) | The accompanying notes are an integral part of these financial statements. {7}------------------------------------------------ ## PLEXUS ENERGY CAP IT AL, LLC ### STATEMENT OF CHANGES IN MEMBERS' EQUITY | Members' equity at December 31
, 2024 | 50,516 | |------------------------------------------|--------------| | Members' contributions | | | Net income | (19,571
) | | Members' equity at December 31, 2025 | \$
30,945 | The accompanying notes are an integral part of these financial statements. {8}------------------------------------------------ #### PLEXUS ENERGY CAPITAL, LLC #### STATEMENT OF CASH FLOWS | | YEARS ENDED | | |------------------------------------------------------|-------------|---------------| | | | DECEMBER 31 , | | | | 2025 | | CASH FLOWS FROM OPERA TING ACTIVITIES: | | | | Net income (loss) | \$ | ( 19,571) | | Adjustments to Reconcile Net Income to | | | | Net Cash Used For Operations: | | | | Increase (decrease) in cash resulting | | | | from change in: | | | | Decrease in Prepaid expense | | 386 | | Due to related party | | (400) | | NET CASH PROVIDED BY (USED FOR) | | | | OPERA TING ACTIVITIES | | (1 9,585) | | | | | | CASH FLOWS FROM FINANCING ACTIVITIES: | | | | Members' contributions | | | | NET CASH PROVIDED BY FINANCING ACTIVITIES | | | | | | | | NET INCREASE (DECREASE) IN CASH AND CASH EQUIVALENTS | | (19,585) | | CASH AND CASH EQUIVALENTS AT BEGINNING OF YEAR | | 50,529 | | CASH AND CASH EQUIVALENTS AT END OF YEAR | \$ | 30,944 | | | | | | Supplemental Disclosure: | | | | Cash paid for interest | | \$0 | | Cash paid for taxes | | \$0 | The accompanying notes are an integral part of these financial statements. 6 {9}------------------------------------------------ ## PLEXUS ENERGY CAPITAL. LLC NOTES TO FINANCIAL STATEMENTS YEARS ENDED DECEMBER 31. 2025 #### A. Summary of Significant Accounting Policies #### Organization Plexus Energy Capital, LLC (the Company) is a Colorado Limited Liability Company formed September 23, 2005 to engage in investment banking and financial consulting. The Company currently operates as a consultant in debt and equity financing transactions for a fee. The Company's business is national in scope. The Company is engaged in a single line of business as a securities broker-dealer, which is compromised of financial advisory service and sourcing non-commercial bank capital. The Company is registered with the Securities and Exchange Commission ("SEC") and is also a member of the Financial Industry Regulatory Authority ("FINRA"). The Company does not carry customer accounts or clear customer transactions, nor does it plan to hold any customers' securities or funds. The Firm is not claiming an exemption from 17 C.F.R. § 240. 15c3-3. The Firm is filing the exemption report in reliance on footnote 74 of the 2013 SEC Release 34-70073. #### Cash and Cash Equivalents The Company considers cash on hand and investments with original maturities of three months or less to be cash equivalents. ### Concentration of Credit Risk Financial instruments that potentially subject the Company to concentration of credit risk consist primarily of temporary cash investments. The Company restricts temporary cash investments to financial institutions with high credit standing. Such temporary cash investments are often in excess of the FDIC insurance limit. #### Revenue from contracts with customers Revenues from contracts with customers are comprised of investment banking and advisory fees. Such fees are recognized at this point in time when the Company's performance under the terms of the contractual arrangement is completed, which is typically at the close of a transaction. Reimbursed expenses related to these transactions are recorded as revenue and are included in investment banking fees. However, advisory fees for certain contracts are recognized over time as obligations are simultaneously provided by the Company and consumed by the customer as services are provided. The Company identifies the specific performance obligation associated with the contract with the customer and determines when that specific performance obligation has been satisfied, based on achievement of milestones and/or a time elapsed measure of progress. In certain transaction, the performance obligation is considered satisfied at a point in time in the future and the Company defers revenue on the balance sheet that will be recognized upon completion of the performance obligation. At December 31 , 2025, the Company had \$0 in Deferred Revenue. {10}------------------------------------------------ ## PLEXUS ENERGY CA PIT AL, LLC NOTES TO FINANCIAL STATEMENTS YEARS ENDED DECEMBER 31. 2025 ## A. Summary of Significant Accounting Policies (Continued) ## Income Taxes The Company is not a taxpaying entity for federal or state income tax purposes. Accordingly, no income tax expense has been recorded in the financial statements. Income of the Company is taxed to the members' in their individual returns. The Company records a liability for uncertain tax positions when it is more likely than not that a tax position would not be sustained if examined by the taxing authority. The Company continually evaluates expiring statutes of limitations, audits, proposed settlements, changes in tax law and new authoritative rulings. The Company's evaluation on December 31, 2025 revealed no uncertain tax positions that would have a material impact on the financial statements. The Company does not believe that any reasonably possibility changes will occur within the next twelve months that will have a material impact on the financial statements. Interest and penalties associated with the Company's tax positions are reflected as other expense in the financial statements. There were no interest or penalties incurred during the year ended December 31, 2025. ## Use of Estimates The preparation of financial statements in conformity with generally accepted accounting principles requires management to make estimates and assumptions that affect certain reported amounts and disclosures. Accordingly, actual results could differ from those estimates. #### B. Significant Clients The Company generally derives significant revenue from a few key clients. However, the makeup of the Company's client base varies from year to year. Accordingly, an annual concentration in revenue from the same clients is remote. The Company did not have any revenue in 2025. {11}------------------------------------------------ ## PLEXUS ENERGY CAPITAL. LLC NOTES TO FINANCIAL STATEMENTS **YEARS** ENDED DECEMBER 31, 2025 ## C. Transactions with Related Entities The Company has an expense paying and sublease agreement with two related entities. These related entities provide administrative services including payroll functions and *bill* paying services. The Company reimburses the related entities through direct cost reimbursement agreements. The Company paid \$1 ,100 for the year 2025, for the personal property, utilities, office space and payroll to the related parties. The members' of the Company feel that this amount represents a reasonably approximate valuation of the personal property, utilities and office space provided. The amount due to the related entities at December 31, 2025 was \$0. #### D. Statutory Requirements Pursuant to Rule l 5c3-l of the Securities Exchange Act of 1934, the Company is required to maintain minimum net capital as defined under such rule. At December 31, 2025, the Company's net capital was \$30,944 and the required net capital was \$5,000. The Firm is not claiming an exemption from 17 C.F.R. § 240. 15c3-3. The Firm is filing the exemption report in reliance on footnote 74 of the 2013 SEC Release 34-70073. As a Non-Covered Firm that does not claim an exemption under paragraph (k) of Rule 15c3-3 (i.e., paragraph (k)(l), (k)(2)(i) or (k)(2)(ii)), during the reporting period the Firm affirms that it (1) does 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) or (b)(2) of Exchange Act Rule 15c2-4 ("Rule 15c2-4"); (2) does not carry accounts of or for customers; and (3) does not carry P AB accounts (as defined in Rule 15c3-3). These conditions were met throughout the most recent fiscal year without exception. Under the exemptive provisions of footnote 74, the Computation for Determination of Reserve Requirements and Information Relating to the Possession and Control Requirements are not required. ## E. Broker Dealer - Single Reportable Segment The Company is engaged in a single line of business as a securities broker-dealer, which is Compromised of financial advisory services and sourcing non-commercial bank capital. The Company has identified the President of its Managing Member as the chief operating decision Mak.er ("CODM"), who uses net income and working capital to evaluate the results of the business, to manage the financial wherewithal of the Company. The Company had no operating revenue during 2025. {12}------------------------------------------------ ## PLEXUS ENERGY CAPITAL, LLC NOTES TO FINANCIAL STATEMENTS YEARS ENDED DECEMBER 31, 2025 ## F. Going Concern As shown in the accompanying financial statements, the Company incurred a net *loss* of \$19,571.41 during the year ended December 31 , 2025, and as of that date, the Company has Members' Equity of \$30,944 and net capital of \$30,944. These factors, as well as the prior year's loss, create a doubt about the Company's ability to continue as a going concern for the year following the date of these financial statements. Management has addressed this by obtaining a commitment from the members of the Company to provide cash contributions as necessary for the ensuing year, as they did during 2024. The financial statements do not include any adjustments that might be necessary if the Company is unable to continue as a going concern. G. Commitments and Contingencies The Company does not have any commitments and contingencies. H. Subsequent Events Management has evaluated the Company's subsequent events and transactions that occurred through the date which the financial statements were available to be issued and determined the Company has no events and transactions occurring that would require disclosure. {13}------------------------------------------------ #### SUPPLEMENTARY INFORMATION {14}------------------------------------------------ ## PLEXUS ENERGY CAPITAL, LLC SCHEDULE I ## SUPPLEMENTAL SCHEDULE OF COMPUTATION OF NET CAPITAL, **MINIMUM** NET CAPITAL REQUIRED, AND AGGREGATE INDEBTEDNESS ## DECEMBER 31, 2025 ## COMPUTATION OF NET CAPITAL AND MINIMUM NET CAPITAL REQUIRED | MEMBERS' EQUITY | \$30,944 | |------------------------------------------------------------------------------------------|-------------| | PREP AID EXPENSES: | 0
\$ | | NET CAPITAL | \$ 30,944 | | MINIMUM NET CAPITAL REQUIRED (greater of 6-2/3%
of aggregate indebtedness or \$5,000) | 5,000
\$ | | EXCESS NET CAPITAL | \$25,944 | | AGGREGATE INDEBTEDNESS | | | TOTAL LIABILITIES AND AGGREGATE INDEBTEDNESS | 0
\$ | | RA TIO OF AGGREGATE INDEBTEDNESS TO NET CAPITAL | _Q | There is no *material* difference between the above net capital computation and the corresponding computation included in the Company's Form X-17A-5 Part IIA Filing. -11- {15}------------------------------------------------ ## PLEXUS ENERGY CAPITAL, LLC SCHEDULE II ## COMPUTATION FOR DETERMINATION OF RESERVE REQUIREMENTS FOR BROKERS AND DEALERS PURSUANT TO RULE 15c3-3 ## DECEMBER 31, 2025 The Firm is not claiming an exemption from 17 C.F.R. § 240. 15c3-3. The Finn is filing the exemption report in reliance on footnote 74 of the 2013 SEC Release 34-70073. Under the exemptive provisions of footnote 74, the Computation for Determination of the Reserve Requirements and Information Relating to the Possession and Control Requirements are not required. {16}------------------------------------------------ ![](_page_16_Picture_0.jpeg) 100 r. S)bclia A.w .. ~uitc 130 Mnitl11nd. rL 32751 • - - p • *Certified* Puhfic Accountants L111~11l ,,,1111'1111h,1p,,, 1.:,>111 I dcphonc 407-740-7311 Fax 407-740-6441 #### REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Members of Plexus Energy Capital, LLC We have reviewed management's statements, included in the accompanying Rule 15c3-3 Exemption Report pursuant to SEC Rule 17a-5, in which (1) Plexus Energy Capital, LLC (the Company) did not claim an exemption under paragraph (k) of 17 C.F .R. §240.15c3-3, and (2) 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 private placement of securities, mergers and acquisitions advisory services and investment banking activities. In addition, 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) or (b)(2) of Rule 15c2-4; did not carry accounts of or for customers; and did not carry PAB accounts (as defined in Rule 15c3-3) throughout the most recent fiscal year without exception. Plexus Energy Capital, LLC's management is responsible for comphance with the provisions contemplated by Footnote 74 of SEC Release No. 34-70073 adopting amendments to 17 C.F.R § 240.17a-5 and related SEC Staff Frequently Asked Questions 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 Plexus Energy Capital, LLC's compliance with the provision of Footnote 74. A review 1s 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 upon the Company's business activities contemplated by Footnote 74 of the SEC Release No 34-70073 adopting amendments to 17 C.F.R. § 240.17a-5, and related SEC Staff Frequently Asked Questions. • Ohab and Company, PA Maitland, Florida January 23, 2026 {17}------------------------------------------------ # **Plexus Energy Capital, LLC** ## EXEMPTION REPORT Plexus Energy Capital, LLC, (Firm) is a registered broker-dealer subject to Rule 17-5 promulgated by the Securities and Exchange Commission (17 C.F.R. §240.J7a-S, "Reports to be made by certain brokers and dealers"). This Exemption Report was prepared as required by 17 C.F.R. §240.17a-S(d)(l) and (4). To the best of *its* knowledge and belief, the Firm states the following: 1. The Firm is not claiming an exemption from 17 C.F.R. § 240. 15c3-3 under paragraph (k). The Firm is filing the exemption report in reliance on footnote 74 of the 2013 SEC Release 34-70073. 2. The Firm is engaged in the private placement of securities, mergers and acquisitions advisory services and investment banking activities. 3. As a Non-Covered Firm that does not claim an exemption under paragraph (k) of Rule 1Sc3-3 (i.e., paragraph (k)(I), (k)(2)(i) or (k)(2)(ii)), during the reporting period the Firm affirms that it (1) does 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) or (b )(2) of Exchange Act Ruic 1 Sc2- 4 ("Rule 1Sc2-4"); (2) does not carry accounts of or for customers; and (3) docs not carry PAB accounts (as defined in Rule JSc3-3). These conditions were met throughout the most recent fiscal year without exception. Plexus Energy Capital, LLC i Wayne Williamson, swear (or affirm) that, to my best knowledge and belief, this Exemption Report is true and correct. I By:~~✓ Title: Managing Member **January** 19, 2026 Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.