Full text of NCG SECURITIES LLC's X-17A-5 filed 2026-04-14 (period 2025-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # NCG Securities, LLC Financial Statement Pursuant to Rule 17a-5 under the Securities Exchange Act of 1934 December 31, 2025 {1}------------------------------------------------ #### UNITED ST ATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # ANNUAL REPORTS FORM X-17A-5 PARTIII hours per response: 12 SEC FILE NU MER **8- 69033** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden **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 **0 1/01 /25** MM/DD/YY MM/DD/YY AND ENDING 12131 **/25** #### **A. REG IS TRANT IDENTIFICATION** NAME oF FIRM: NCG Securities, LLC TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer □ Security-based swap dealer □ Major security-based swap participant □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) ## 12 Broad Street | | (No. and Street) | | | |-----------------|---------------------------------------------------------------------------|----------------------------|--| | Red Bank | NJ | 07701 | | | (City) | (State) | (Zip Code) | | | | PERSON TO CONT ACT WITH REGARD TO THIS FILING | | | | Domenic DiPiero | (732) 7 41-8400 | DDiPIERO@NCGSECURITIES.COM | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | YSL & Associates LLC | | (Name - if individual. state last, first, and middle name) | | | |-------------------------------------------------|------------------------------------------------------------|---------|-------------------------------------------| | 11 Broadway, Suite 700 | New York | NY | 10004 | | (Address) | (City) | (State) | (Zip Code) | | 6/6/2006 | | 2699 | | | (Date of Registration with PCAOB)(ifapplicable) | | | (PCAOB Registration Number, ifapplicable) | | | | | | #### **FOR OFFICIAL l <sup>1</sup> SE 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 basis of the exemption. See 17 CFR 240. I 7a-5(e)( **l** )(ii), if applicable. **Persons who are to respond to the collection of information contained in this form ar…Read the full text as markdown