Full text of SHOPOFF SECURITIES, 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** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill SEC FILE NUM BER 8-67499 **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and lSa-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **O 1/01 /25** AND ENDING **12/3 1 / <sup>2</sup> <sup>5</sup>** MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** # NAME OF FIRM : SHOPOFF SECURITIES, INC. TYPE OF REG ISTRANT {check all applicable boxes): C!J Broker-dealer □ Securit y-based sw ap dealer D Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: {Do not use a P.O. box no.) | | 18565 Jamboree Road | | , Suite #200 | | |--|---------------------|--|--------------|--| |--|---------------------|--|--------------|--| | | (No. and Street) | | | | |------------------------------------------------|----------------------------------------------------------------------|-------------------------------|-----------------|--| | Irvine | CA | | 92612 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FI LI NG | | | | | | Ivana Shumberg | 713-582-4897 | is humberg@pattentraining.com | | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | Baker Tilly US, LLP | INDEPENDENT PUBLIC ACCOUNTANT w hose reports are contained in this f | iling* | | | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 18500 Von Karman Ave. | , 10th Floor Irvine | CA | 92612 | | | (Address) | (City) | (State) | (Zip Code) | | | 10/22/2003 | | 23 | | | | | | | | | \* Claims for exemption from the requ irement that t he annua l reports be covered by the reports of an independent public accou ntant must be supported by a statement of facts and circumstances relied on as the basis of the exempt ion . See 17 CFR 240.17a-S(e)(l)(ii), if applicable. **Persons who are to respond to t he 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, Willliam A. Shopoff swear (or affirm) that, to the best of my knowledge and bel…Read the full text as markdown