Full text of FWS RETIREMENT SERVICES, LLC'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}------------------------------------------------ Annual Audit Report December 31, 2025 {1}------------------------------------------------ #### **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-17 A-5 PART Ill** SEC FILE NUMBER 8-68491 **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 | ----------<br>01/01/25 | AND ENDING | -----------<br>12/31/25 | |---------------------------------|------------------------|------------|-------------------------| | | MM/DD/VY | | MM/DD/VY | #### **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM: FWS Retirement Services, LLC TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer D Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | 100 Montgomery Street, Suite 2000 | | |-----------------------------------|--| |-----------------------------------|--| (No. and Street) | San Francisco | California | | 94104 | | |------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-------------------------------------------|------------|--| | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Brian V. Hasday | (415) 878-2310<br>BHasday@frenkel.com | | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Ernst Wintter & Associates LLP | (Name - if individual, state last, first, and middle name) | | | | | 675 Ygnacio Valley Blvd, Suite A200 | Walnut Creek | California | 94596 | | | (Address) | (City) | (State) | (Zip Code) | | | February 24, 2009 | | | 3438 | | | rte<br>of R,g;m,uoo w;th PCAOB)l;f appUcable) | | (PCAO B R,g;mafoo N,mbec, ;fa ppUcable) I | | | | | 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 basi…Read the full text as markdown