# ANUBIS SECURITIES LLC X-17A-5 (2026-02-26) — Broker-dealer annual report - Company: ANUBIS SECURITIES LLC - Form: X-17A-5 - Filed: 2026-02-26 - Period: 2025-12-31 - Accession: 0001518468-26-000003 - CIK: 1518468 - File #: 8-68859 - Type: Broker-dealer - Material weakness: No - Auditor: Forvis Mazar's, LLP - Auditor location: Charlotte, NC - Contact: Lawrence S. Block - Phone: 212-705-5090 - Email: iblock@anubissecurities.com - Website: anubissecurities.com - Signed by: Lawrence S. Block (President) Original filing: https://www.sec.gov/Archives/edgar/data/1518468/000151846826000003/public-asar.pdf --- {0}------------------------------------------------ ![](_page_0_Picture_0.jpeg) # ANUBIS SECURITIES LLC ## FINANCIAL STATEMENT For the Year Ended December 31, 2025 {1}------------------------------------------------ PUBLIC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL 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 | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | |-------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------|----|-----------------------------|------------| | 01/01/2025
AND ENDING
FILING FOR THE PERIOD BEGINNING | | | 12/31/2025 | | | MM/DD/YY | | | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: Anubis Securities LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes):
Broker-dealer
C Check here if respondent is also an OTC derivatives dealer | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 717 Fifth Avenue, 18th Floor | | | | | | | (No. and Street) | | | | | New York | | NY | | 10022 | | (City) | (State) | | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Lawrence Block | 212-705-5090 | | Iblock@anubissecurities.com | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | B. Accountant Identification | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | Forvis Mazars, LLP | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 4350 Congress Street, Suite 900 | Charlotte | | NC | 28209 | | (Address) | (City) | | (State) | (Zip Code) | | 10/16/2003 | | | 686 | | | | (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 currently valid OMB control number. {2}------------------------------------------------ #### OATH OR AFFIRMATION | Lawrence S. Block
financial report pertaining to the firm of ___________________________________________________________________________________________________________________________________ | , swear (or affirm) that, to the best of my knowledge and belief, the
Anubis Securities LLC | | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------| | December 31,
as that of a customer. | . 2025___ is true and correct. I further swear (or affirm) that neither the company nor any
partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classified solely
Signature: | as of | | | Title: | | President #### This filing\*\* contains (check all applicable boxes): - (a) Statement of financial condition. - = (b) Notes to consolidated statement of financial condition. - □ (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). - O (d) Statement of cash flows. - □ (e) Statement of changes in stockholders' or partners' or sole proprietor's equity. - □ (f) Statement of changes in liabilities subordinated to claims of creditors. - □ (g) Notes to consolidated financial statements. - □ (h) Computation of net capital under 17 CFR 240.15c3-1 or 17 CFR 240.18a-1, as applicable. - □ (i) Computation of tangible net worth under 17 CFR 240.18a-2. - □ (j) Computation for determination 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 2010. Exhibit A to 17 CFR 240 18a. 4 as app Exhibit A to 17 CFR 240.18a-4, as applicable. - □ (I) Computation for Determination of PAB Requirements under Exhibit A to § 240.15c3-3. - □ (m) Information relating to possession or control requirements for customers under 17 CFR 240.15c3-3. - □ (n) Information relating to possession or control requirements for security-based swap customers under 17 CFR 240.15c3-3(p)(2) or 17 CFR 240.18a-4, as applicable. - C (o) Reconciliations, including 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 cris UC-2 nepot with confluod of the capital of the reserve requirements under 17 CFR 240.15c3-3 or 17 CFR 240.18a-4, as applicable, if material differences exist, or a statement that no material differences - □ {p) Summary of financial data for subsidiaries not consolidated in the statement of financial condition. - (q) Oath or affirmation in accordance with 17 CFR 240.17a-5, 17 CFR 240.17a-12, or 17 CFR 240.18a-7, as applicable. - [] {r} Compliance report in accordance with 17 CFR 240.17a-5 or 17 CFR 240.17a-12, 01 17 CFR 240.18a-7, as applicable. - □ {s} Exemption report in accordance with 17 CFR 240, 17a-5 or 17 CFR 240, 18a-7, as applicable. - | - CFR 240 174-5, 17 CFR 240 189-7, or 1 based on an examination of the financial report or financial statements under 17 CFR 240.17a-5, 17 CFR 240.18a-7, or 17 CFR 240.17a-12, as applicable. - O (v) Independent public accounts report based on an examination of certain statements in the compliance report under 17 CFR 240.17a-5 or 17 CFR 240 18-7, as onliceble CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable. - □ (w) Independent public accountant's report based on a review of the exemption report under 17 CFR 240.17a-5 or 17 CFR 740 18a-7, as applicablo CFR 240.18a-7, as applicable. - [ [x] Supplemental reports on applying agreed-upon procedures, in accordance with 17 CFR 240.15c3-1e or 17 CFR 240.17a-12, 1 as applicable as applicable. - 口 (y) Report describing any material inadequacies found to have existed since the date of the previous audit, or a statement that no material inadequacies exist, under 17 CFR 240.17a-12(k). - O (z) Other: \*\*To request confidential treatment of certain portions of this filing, see 17 CFR 240.17a-5(e)(3) or 17 CFR 240.18a-7(d)(2), as 17 CFR 240.18a-7(d)(2), as 11 CFR 240.18a-7(d applicable. {3}------------------------------------------------ #### Table of Contents #### Page No. | SEC Form X-17A-5 | 1 | |---------------------------------------------------------|---| | Oath or Affirmation | 2 | | Table of Contents | 3 | | Report of Independent Registered Public Accounting Firm | ব | | Financial Statement: | | | Statement of Financial Condition | 5 | | Notes to Financial Statement | 6 | {4}------------------------------------------------ ![](_page_4_Picture_1.jpeg) #### Report of Independent Registered Public Accounting Firm Member Anubis Securities LLC New York, New York #### Opinion on the Financial Statement We have audited the accompanying statement of financial condition of Anubis Securities LLC (the Company), a wholly-owned subsidiary of Anubis Advisors LLC, as of December 31, 2025, including the related notes (collectively referred to as the financial statement). In our opinion, the financial statement presents fairly, in all material respects, the financial position of the Company as of December 31, 2025, in conformity with accounting principles generally accepted in the United States of America. #### Basis for Opinion This financial statement is the responsibility of the Companys management. Our responsibility is to express an opinion on the Companys financial statement 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 the Company 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 statement is free of material misstatement, whether due to error or fraud. Our audit included performing procedures to assess the risks of material misstatement of the financial statement, 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 statement. Our audit also included evaluating the accounting principles used and significant estimates made by management, as well as evaluating the overall financial statement presentation. We believe that our audit provides a reasonable basis for our opinion. We have served as the Companys auditor since 2012 Charlotte, North Carolina February 25, 2026 {5}------------------------------------------------ #### ANUBIS SECURITIES LLC STATEMENT OF FINANCIAL CONDITION December 31, 2025 | ANUBIS SECURITIES LLC
STATEMENT OF FINANCIAL CONDITION
December 31, 2025 | | |--------------------------------------------------------------------------------|---------------| | | | | | | | ASSETS
Cash and cash equivalents | \$
264,160 | | Prepaid expenses and other assets | 70,438 | | Total
Assets | \$
334,598 | | LIABILITIES | | | Accounts payable and accrued liabilities | \$
33,500 | | Total Liabilities | 33,500 | | MEMBER'S EQUITY | 301,098 | | Total Liabilities and Member's Equity | \$
334,598 | See accompanying notes. {6}------------------------------------------------ #### NOTE A - NATURE OF BUSINESS AND SIGNIFICANT ACCOUNTING POLICIES #### Nature of Business Anubis Securities LLC (the "Company") is a Delaware limited liability company formed on January 3, 2011 under the name "Anubis BD Holdings LLC." It changed its name to "Anubis Securities LLC" on April 7, 2011. The Company's principal place of business is in New York. The Company's sole member is Anubis Advisors LLC ("Anubis Advisors"). On October 13, 2011, the Company became registered as a broker-dealer with the Securities and Exchange Commission ("SEC") and a member of the Financial Industry Regulatory Authority ("FINRA"). The Company is also registered as a broker-dealer in all 50 states, as well as Washington, D.C., Puerto Rico and the Virgin Islands. The Company's purpose of operating as a broker-dealer is (a) to raise capital from third-party investors in new or existing collective investment vehicles sponsored by the Company (or an affiliate of the Company) or a third party, either through (i) a private placement of interests in such collective investment vehicles, (ii) selling interests in such collective investment vehicles (generally structured as limited partnerships and/or limited liability companies), and/or (iii) direct participation programs, (b) to engage in the private placement of securities, (c) to engage in registered direct offerings, and (d) to engage in merger and acquisition advisory services, including fairness opinions. The Company's primary business serves primarily institutional and high net worth customers. The Company does not claim an exemption under paragraph (k) of 17 C.F.R. § 240.15c3-3 and is relying on Footnote 74 of the SEC Release No. 34-70073 adopting amendments to 17 C.F.R. § 240.17a-5. A summary of the Company's significant accounting policies follows: #### Cash and Cash Equivalents For purposes of the statement of financial condition, the Company defines cash equivalents as short-term, highly liquid debt instruments purchased with a maturity of three months or less. The amount of cash on deposit in federally-insured institutions is guaranteed up to \$250,000 per depositor. The Company periodically has balances on deposit in excess of the insurance limits. The Company has not suffered any financial losses on uninsured deposits and monitors the credit risk of its primary financial institution. Cash equivalents are carried at cost which approximates fair value. #### Income Taxes The Company is a single-member limited liability company and is therefore disregarded for federal income tax purposes. The Company's sole member is Anubis Advisors, which is also a single- member limited liability company and disregarded for federal income tax purposes. Income and losses of the Company are reported on the federal income tax return of Island Capital Group LLC ("ICG"), the sole member of Anubis Advisors. #### Use of Estimates The preparation of financial statements in conformity with accounting principles generally accepted in the United States of America requires management to make estimates and assumptions that affect the reported amounts of assets and liabilities and the disclosure of contingent assets and liabilities at the date of the financial statements and the reported amounts of revenues and expenses during the reporting period. Actual results could differ from those estimates. {7}------------------------------------------------ #### Segment Reporting The Company is engaged as a non-carrying broker-dealer to engage in the activities as disclosed in Note A above. Management concluded that the Company's operations constitute one operating segment and therefore one reportable segment. The Company's chief operating decision maker ("CODM") is the Company's President. The accounting policies used to measure profit and loss of the single operating segment are the same as those described in Note A above. The CODM assesses operating performance and manages the Company based on revenues, net income and net capital to evaluate the results of the business. The statement of operations represents the level at which financial information is provided to the CODM. All other information for the reportable segment, which is the same as the operating segment, is disclosed throughout these financial statements. The segment does not incur depreciation or amortization expense as it does not own depreciable assets, does not incur interest expense as it does not have outstanding debt obligations, does not incur income tax because it is a disregarded entity, and does not own an equity interest in any outside investments. #### NOTE B - NET CAPITAL REQUIREMENTS The Company is subject to the SEC's uniform net capital rule (SEC Rule 15c3-1), which requires the Company to maintain a minimum amount of net capital and that the ratio of "aggregate indebtedness" to "net capital," each as defined in SEC Rule 15c3-1, shall not exceed 15 to 1. SEC Rule 15c3-1 also provides that equity capital may not be withdrawn or cash dividends paid if the resulting net capital ratio would exceed 10 to 1. The Company's minimum net capital requirement is \$5,000. At December 31, 2025, the Company had net capital of \$230,660, and \$225,660 of capital in excess of the minimum requirement. #### NOTE C – COMMITMENTS AND CONTINGENCIES In the ordinary course of business, the Company could be subject to various claims, litigation, regulatory and arbitration matters. In the opinion of management, there is no pending or threatened proceeding in which an adverse decision could result in a material adverse change in the Company's financial condition or results of operations. The Company also enters into contracts that contain a variety of representations and warranties that provide indemnifications under certain circumstances. The Company's maximum exposure under these arrangements is unknown, as this would involve future claims that may be made against the Company that have not yet occurred. The Company expects the risk of loss to be remote. #### SUBSEQUENT EVENTS The Company evaluated the effect subsequent events would have on the financial statements through February 25, 2026, which is the date the financial statements were available to be issued. Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.