Full text of PHILPOTT BALL & WERNER, LLC's X-17A-5 filed 2026-03-02 (period 2025-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | | OMB APPROVAL<br>OMB Number: 3235-0123<br>Expires: Nov. 30, 2026<br>Estimated average burden<br>hours per response: 12 | | | | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------|-----------------------------------------------------------------------------------------------------------------------|--|--|--|--| | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | | | | FORM X-17A-5 | | 8-68785 | | | | | | | | | | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | | | ______________________________________________________________________________________________________________________________________________________________________________<br>filing for the period beginning 01/01/25 | | | | | | | | | | | MM/DD/YY | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | NAME OF FIRM: Philpott Ball & Werner, LLC | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br> Major security-based swap participant<br>■ Broker-dealer<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.) | | | | | | | | | 11325 North Community House Road, Suite 430 | | | | | | | | | (No. and Street) | | | | | | | | Charlotte | NC | | 28277 | | | | | | (City) | (State) | | (Zip Code) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | Nicholas W Berry | 704-358-8094 | nberry@pbandw.com | | | | | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | GreerWalker LLP | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | | 227 West Trade St., Suite 1100 Charlotte | NC | 28202 | | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | | June 7. 2005 | | 2324 | | | | | | |…Read the full text as markdown