Full text of REGIONS SECURITIES 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 ST ATES<br>SECURITIES AND EXCHANGE COMM<br>ISSION<br>Washington, D.C. 20549 | | | OMS APPROVAl<br>0MB Numbe-r. 323S 0123<br>E,cpires: Nov. 30, 2026<br>Est imatecl average burden<br>hours per rei.POnse: 12 | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------|---------------|----------------------------------------------------------------------------------------------------------------------------|--| | | ANNUAL REPORTS | | SEC flLE NUMBER | | | | FORM X-17 A-5 | | 8-68990 | | | PART Ill | | | | | | FACING PAGE<br>Information Requted Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities ExchangeActof 1934<br>AND ENDING 1 2/31 /25<br>01 /01 /25<br>FILING FOR THE PERIOD BEGINNING<br>MM/D0/YY<br>MM/DD/YY | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME oF FIRM: Regions Securities LLC<br>TYPE OF REGISTRANT (check all awlicable boxes): | | | | | | 0 Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | D Security-based swap dealer | | D Major sec1Jity-based swap participant | | | 1180 W Peachtree Street NW. Suite 1400 | | | | | | | (No. and Street) | | | | | Atlanta | GA | | 30309 | | | (City)<br>PERSON TO CONTACT WITH REGARD TO THIS FILING | (State) | | (Zip Code) | | | Glenn Holloway | 404-279-7 404 | | glenn.hollrmay@regi<br>ons.com | | | (Name) | (Area Code- Telephone Number) | | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Ernst & Young LLP | (Name - if individual, �tate last, fr�t. andrniddle name} | | | | | 1901 6th Ave. N Suite 1200 | Birmingham | AL | 35203 | | | (Address)<br>10/20/03 | (City) | (S!ate)<br>42 | (Zip Code) | | | (Date of Regi�t1.1tion with PCAOB)(if applicable) | FOR OFFICIAL USE ONLY | | (PCAOB Regi�lration Number. if annli1;;3ble) | | | • Claims for 0<emption from the requirement that the annual reports be covered by the reports of an independent public | | | | | **a«ountant must be supporled by a statement of facts and circum�tances relied on as the basis of the e•emption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable.** **Persons who are to r…Read the full text as markdown