# ADVANCED STRATEGIES BROKER DEALER LLC X-17A-5 (2026-04-03) — Broker-dealer annual report - Company: ADVANCED STRATEGIES BROKER DEALER LLC - Form: X-17A-5 - Filed: 2026-04-03 - Period: 2025-12-31 - Accession: 0001553932-26-000005 - CIK: 1553932 - File #: 8-69118 - Type: Broker-dealer - Material weakness: No - Auditor: OHAB AND COMPANY, PA - Auditor location: MAITLAND, FL - Contact: Charles William Bikas - Phone: 423-580-4307 - Email: cbikas@asbdllc.com - Website: asbdllc.com - Signed by: CHARLES BIKAS (Managing Member) Original filing: https://www.sec.gov/Archives/edgar/data/1553932/000155393226000005/ASBDllc2025AA.pdf --- {0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # **ANNUAL REPORTS FORM X-17A-5 PART Ill** | 0MB APPROVAL | | |--------------------------|--| | 0MB Number: 3235-0123 | | | Expires: Nov. 30, 2026 | | | Estimated average burden | | | hours per response: 12 | | | SEC FILE NUMBER | | 8-69118 **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 1/01/2025 MM/DD/VY AND ENDING 12/31/2025 MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: Advanced Strategies Broker Dealer LLC TYPE OF REGISTRANT (check all applicable boxes): l:!J 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.) | 1308 Dallas Road | | | | | | |----------------------------------------------|---------------------------------------------------------------------------|--------------------|-------------------------------------------|--|--| | | (No. and Street) | | | | | | Chattanooga | TN | | 37405 | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Charles Bikas | 423-580-4307 | cbikas@asbdllc.com | | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | | | | | | | | 8. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | | | OHAB AND COMPANY, PA | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | (Name - if individual, state last , first, and middle name) | | | | | | 100 E SYBELIA AVENUE, SUITE 130 MAITLAND | | FL | 32751 | | | | (Address) | (City) | (State) | (Zip Code) | | | | JULY 28, 2004
r· | | 1839 | (PCAOB ''"'"";"" ""mb", ;1 applicable I I | | | • 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 stat ement of facts and circumstances relied on as the basis of t he exemption. See 17 CFR 240.17a-S(e)(l)(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 0MB control number.** {1}------------------------------------------------ #### OATH OR AFFIRMATION | I, CHARLES BIKAS | | swear (or affirm) that, to the best of my knowledge and belief, the | | |------------------|----|-------------------------------------------------------------------------------------------|--| | | | financial report pertaining to the firm of ADVANCED STRATEGIES BROKER DEALER LLC
as of | | | MARCH 27th | 2~ | 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 as that of a customer. Signature: ~£A Title: MANAGING MEMBER #### **This flllng0 contains (check all applicable boxes):** - ~ (a) Statement of financial condition. - D (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). - ~ (d) Statement of cash flows. - ~ (e) Statement of changes in stockholders' or partners' or sole proprietor's equity. - D (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. - D (i) Computation of tangible net worth under 17 CFR 240.18a-2. - Ii!!!! U) Computation for det ermination of customer reserve requirements pursuant to Exhibit A to 17 CFR 240.1Sc3-3. - D (k) Computation for determination of security-based swap reserve requirements pursuant to Exhibit B to 17 CFR 240.15c3-3 or Exhibit A to 17 CFR 240.18a-4, as applicable. - D (1) 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. - D (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. - ~ (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 17 CFR 240.18a-2, as applicable, and 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 exist. - D (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-S, 17 CFR 240.17a-12, or 17 CFR 240.18a-7, as applicable. - D (r) Compliance report in accordance with 17 CFR 240.17a-5 or 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. - D (t) Independent public accountant's report based on an examination of the statement of financial condition. - ~ (u) Independent public accountant's report 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. - D (v) Independent public accountant's report based on an examination of certain statements in the compliance report under 17 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 240.18a-7, as applicable. - D (x) Supplemental reports on applying agreed-upon procedures, in accordance with 17 CFR 240.1Sc3-1e or 17 CFR 240.17a-12, as applicable. - D (y) Report describing any material inadequacies found to exist or 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). D (z) other: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_ - 0 To request confidential treatment of certain portions of this filing, see 17 CFR 240.lla-5(e){3} or 17 CFR 240.18a-l(d)(2), as applicable. {2}------------------------------------------------ # **Advanced Strategies Broker Dealer LLC Statement of Financial Condition December 31, 2025** #### ASSETS | Cash | \$129,349 | |---------------------------------------|-----------| | Prepaid Expenses | 271 | | Receivables from Investment Companies | 17,214 | | Total Assets | \$146,834 | #### LIABILITIES AND MEMBER'S EQUITY #### LIABILITIES | Due to Outside Vendors | 75 | |---------------------------------------|-----------| | Due to Member | 216 | | Due to Brokers | 1511 | | Total Liabilities | 1802 | | MEMBER'S EQUITY | 145,032 | | Total Liabilities and Member's Equity | \$146,834 | {3}------------------------------------------------ # **Advanced Strategies Broker Dealer LLC Statement of Operations For the Year Ended December 31, 2025** | REVENUES | | | |-------------------|------------------------------------------------------|---------------| | | Mutual Fund Fees - 12bl | \$
14,999 | | | Commissions - Mutual Fund and Variable Annuity Sales | 237,329 | | | 529 Plan Sales | 770 | | | Fees from Brokers | 448 | | | Total Revenues | 253,546 | | EXPENSES | | | | | Commissions | 92,955 | | | Occupancy | 10350 | | | Communications | 4,107 | | | Other Operating Expenses | 17,234 | | | Total Expenses | 124,646 | | NET INCOME (Loss) | | \$
128,900 | {4}------------------------------------------------ # **Advanced Strategies Broker Dealer LLC Statement of Cash Flows For the Year Ended December 31, 2025** | CASH FLOWS FROM OPERATING ACTIVITIES: | | |------------------------------------------------------------------------------|-----------| | Adj ustments to Reconci
le Net Income to Net Cash Provided by Operations: | | | Net Income | \$128,900 | | Accounts Receivable | (15,523) | | Prepaid Expenses | (100) | | Accounts Payable | 17 | | Due to Member | (1,326) | | Due to Brokers | 128 | | NET CASH PROVIDED BY OPERATING ACTIVITIES | \$112,096 | | CASH FLOW FROM FINANCING ACTIVITIES | | | Member contributions | 2,400 | | NET CASH PROVIDED BY FINANCING ACTIVITIES | 2,400 | | NET INCREASE IN CASH | \$114,496 | | CASH BALANCE | | | Beginning of Period | 14,853 | | End of Period | 129,349 | | | | | SUPPLEMENTAL DISCLOSURE | | | Cash paid for interest | 0 | | Cash paid for taxes | 0 | {5}------------------------------------------------ # **Advanced Strategies Broker Dealer LLC Statement of Changes in Member's Equity For the Year Ended December 31, 2025** | Beginning Balance, December 31, 2024 | \$
13,732 | |--------------------------------------|---------------| | | | | 2025 Net Income | 128,900 | | 2025 Contributions | 2,400 | | Ending Balance, December 31, 2025 | \$
145,032 | {6}------------------------------------------------ ### NOTE A - SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES Organization and Description of Business: Advanced Strategies Broker Dealer, LLC (the "Company"), a limited liability company, was organized in June 2012 and became a brokerdealer in August 2013. The Company is a securities broker-dealer registered with the Securities and Exchange Commission ("SEC") and a member of the Financial Industry Regulatory Authority ("FINRA"). As a Limited Liability Company, the Member's liability is limited to this investment. The Company's primary business is brokerage of mutual funds, 529 plans and variable annuities, and it operates under the provisions of paragraph (k)(l ) of Rule 15c3-3 of the Securities Exchange Act of 1934. The Company operates from an office located in Chattanooga, Tennessee and its customers are primarily in Tennessee, Georgia, North Carolina, South Carolina and Texas. Cash and Cash Equiva lents: For purposes of reporting the statement of cash flows, the Company considers all cash accounts, which are not subject to withdrawal restrictions or penalties, and all highly liquid debt instruments purchased with a maturity of three months or less to be cash equiva lents. Cash balances in excess of FDIC and similar insurance coverage are subject to the usual banking risks associated with funds in excess of those limits. As of December 31, 2025, the Company had no uninsured cash balances. Income Taxes: The Company is a sole proprietorship for income tax reporting purposes. Income or losses flow through to the member and no income taxes are recorded in the accompanying financial statements. The Company has adopted the provisions of FASB Accounting Standards Codification 740-10, Accounting for Uncertainty in Income Taxes. Under FASB ASC 740-10, the Company is required to evaluate each of its tax positions to determine if they are more likely than not to be sustained if the t axing authority examines the respective position. A tax position includes an entity's status, including its status as a pass-through entity, and the decision not to file a return. The Company has evaluated each of its tax positions and has determined that it has no uncertain tax positions for which a provision or liability for income taxes is necessa ry. **page 1 of 5** {7}------------------------------------------------ ### NOTE A - SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES CONTINUED ... Estimates: Management uses estimates and assumptions in preparing financial statements in accordance with generally accepted accounting principles. Those estimates and assumptions affect the reported amounts of assets, liabilities, revenues and expenses. Actual results could vary from the estimates that were assumed in preparing the financial statements. Commissions - Mutual Fund and Variable Annuity Sales: Revenue is recognized in accordance with FASB ASC Topic 606 as services are rendered and the contracts identified performance obligations have been satisfied. Commissions and fees received from the sale of mutual funds and variable annuities are recognized at the time the associated service is fulfilled, including the investment company receiving the application which is based on the trade date. Mutual Fund - Fees 12b-1: The company enters into arrangements with managed accounts or other pooled investment vehicles (funds) to distribute shares to investors. The Company may receive distribution fees paid by the fund up front, over time, upon the investor's exit from the fund (that is, a contingent deferred sales charge), or as in a combination thereof. Ther Company believes that its performance obligation is the sales of securities to investors and as such this is fulfilled on the trade date. Any fixed amounts are recognized on the trade date and variable amounts are recognized to the extent it is probable that a significant revenue reversal will not occur once the uncertainty is resolved. For variable amounts, as the uncertainty is dependent on the value of the shares at future points in time as well as the length of time the investor remains in the fund, both of which are highly susceptible to factors outside the Company's influence, the Company does not believe that it can overcome this constraint until the market value of the fund and the investor activities are known, which are usually monthly or quarterly. Distribution fees recognized in the current period are primarily related to performance obligations that have been satisfied in prior periods. {8}------------------------------------------------ ### Significant Judgements: The recognition and measurement of revenue is based on the assessment of individual contract terms. Significant judgement is required to determine whether performance obligations are identified; when to recognize revenue based on the appropriate measure of the Company's progress under the contract; whether revenue should be presented gross or net of certain costs; whether contraints on variable consideration should be applied due to uncert ain future events. Accounts Receivable: Accounts receivable are non-interest bearing uncollateral ized obligations receivable in accordance with the terms agreed upon with each mutual fund or insurance company. The ca rrying amount of the account s receivable is reduced by a valuation allowance that reflects management's best estimat e of the amounts that wi ll not be collected. Management individually reviews all deliquent accounts receivable balances and based on assessment of the current credit worthiness, estimates the portion, if any, of the balance that will not be collected. Generally, receivables are believed to be fu lly collectible; accordingly, no allowance for doubtful accounts is reflected in the accompanying financial statements. NOTE B - NET CAPITAL The Company, as a registered broker dealer is subject to the Securities and Exchange Commission Uniform Net Capital Rule (Rule 15c3-1) which requires the maintenance of minimum net capital and requ ires that the ratio of aggregat e indebtedness to net capital, both as defined, shall not exceed 15 to 1. At December 31, 2025 the Company had net capital of \$144,761 which was \$139,761 in excess of its required net capital of \$5,000 and its ratio of aggregate indebtedness to net capital was .012. **page 3 of S** {9}------------------------------------------------ #### NOTE C - RELATED PARTY The Company has an expense sharing agreement with its Member. Under the terms of the agreement, the Company pays the Member for certain costs provided to the Company, primarily utility expenses for the office premise provided. The amount expensed for the year ended December 31, 2025 was approximately \$549. The balance due to the Member on the accompanying statement of financial condition arose from this agreement. ### NOTE D - SEGMENT REPORTING The Company is engaged in a single line of business as a securities broker-dealer, which is compromised of several classes of services, including agency transcations for mutual funds, variable annuities and 529 plans. The Company has identified the Managing Member as the Chief Operating Decision Maker ("CODM"), who uses net income to evaluate the results of the business, predominately in the forecasting process, to manage the Company. Additionally the CODM uses excess net capital, which is not a meassure of profit and loss, to make operational decisions whi le maintaining capital adequecy, such as whether to reinvest profits or pay dividends. The Company's operations constitute a single operating segment annd therefore, a single reportable segment, because the CODM manages the business activities using information of the Company as a whole. The accounting policies used to measure the profit and loss of the segment are the same as those described in the summary of significant accounting policies. ### NOTE E - COMMITMENTS AND CONTINGENCIES The company does not have any commitments or contingencies. ### NOTE F - SUBSEQUENT EVENTS In accordance with the Subsequent Events Topic of the FASB Accounting Standards Codification No. 855 ("FASB ASC 855"), the Company has evaluated those events and transactions that occurred from the date the financial statements were available to be issued. No material events or transactions have occurred during this period which would render these financial statements to be misleading. {10}------------------------------------------------ ### NOTE G - CREDIT LOSSES The company follows ASC Topic 326, Financial Instruments - Credit Losses ("ASC 326"). ASC 326 impacts the impairment model for certain financial assets by requiring a current expected credit loss ("CECL") methodology t o est imate expected credit losses over the entire life of the financial asset. Under the accounting update, the Company has the ability to detemine that there are no expected credit losses in certain circumstances (e.g., based on the credit quality of the customer). The Company had accounts receivable as of December 31st, 2024 and 2025 of \$1,690 and \$17,214 respectively. ### NOTE H - COMPANY CONDITIONS The company had a gain of \$128,900 for the year ending December 31st, 2025 and has received capital capital contributions from its stockholder for working capital. The Company's stockholder has represented that he intends to continue making capital contributions, as needed, to ensure the Company's continuing operations. The stockholder has the financia l wherewithal to continue contributing, as required. Management expects the Company to continue as a going concern and the accompanying financial statements have been prepared on a going-concern basis without adjustments for realizat ion in the event the Company ceases to continue as a going concern. **page 5 of 5** {11}------------------------------------------------ ## **Advanced Strategies Broker Dealer LLC** ## **Schedule** I # **Computation of Net Capital Under Rule 15c3-1 of the Securities and Exchange Commission Act of 1934 As of December 31, 2025** #### NET CAPITAL: | Total Member's Equity | \$
145,032 | |--------------------------------------------------------------|---------------| | Less: | | | Prepaid Expenses | (271) | | Net Capital Before haircuts | 144,761 | | Less haircuts | 0 | | Net Capital | 144,761 | | Minimum Net Capital Required | 5,000 | | Excess Net Capital | 139,761 | | Aggregate Indebtedness | 1,802 | | Minimum Net Capital Required Based on Aggregate Indebtedness | \$
120 | | Ratio of Aggregate Indebtedness to Net Capital | 0.0124 | ### RECONCILIATION WITH COMPANY'S COMPUTATION OF NET CAPITAL INCLUDED IN PART IIA OF FORM X-17a-5 AS OF DECEMBER 31, 2025 There is no material difference between net capital as reported on Form **X-17A-5** and net capital as computed above. {12}------------------------------------------------ ## **Advanced Strategies Broker Dealer LLC** ## **Schedule II** COMPUTATION FOR DETERMINATION OF RESERVE REQUIREMENTS AND INFOMRATION RELATING TO THE POSSESSION OR CONTROL REQUIREMENTS UNDER RULE 15c3-3 OF THE SECURITIES AND EXCHANGE COMMISSION AS OF DECEMBER 31, 2025 The Company is exempt from the provisions or Rule 15c3-3 under the Securities and Exchange Act of 1934, pursuant to paragraph (k)(l) of the Rule. {13}------------------------------------------------ ## **Advanced Strategies Broker Dealer LLC** ## **Schedule 111** ## INFORMATION RELATING TO THE POSSESSION OR CONTROL REQUIREMENTS UNDER RULE 15C3-3 OF THE SECURITIES AND EXCHANGE COMMISSION AS OF DECEMBER 31, 2025 The Company is exempt from the provisions of Rule 15c3-3 under the Securities and Echange Act of 1934, pursuant to paragraph (k)(l) of the Rule {14}------------------------------------------------ ## **Advanced Strategics Broker Dealer LLC's Exemption Report** **Advanced Strategies Broker Dealer LLC** (the "Company") is a registered broker-dealer subject to Rule 17a-5 promulgated by the Securities and Exchange Commission (17 C.F.R. §240. l 7a-5, "Reports to be made by certain brokers and dealers"). This Exemption Report was prepared as required by 17 C.F.R. § 240.17a-5(d)( 1) and (4). To the best of its knowledge and belief, the Company states the following: - **(1)** The Company claimed an exemption from 17 C.F.R. § 240. l 5c3-3 under the following provisions of 17 C.F.R. § 240. l Sc3-3 (k)( 1) - (2) The Company met the identified exemption provisions in 17 C.F.R. § 240.1 Sc3-3(k) throughout the most recent fiscal year without exception. Advanced Strategies Broker Deale LLC I, Charles Bikas, swear (or affirm) that, to my best knowledge and belief, this Exemption Report is true and correct. ~ Id.A **By: Charles Bikfs Title: Managing Member** **February 23rd, 2026** {15}------------------------------------------------ ![](_page_15_Picture_0.jpeg) I 00 E. S) bclia i\ vc. Suite 130 Maitland. t-L 32751 *Certijied* P11hlic Acco11111,1111s .L.il.h!!l **p,t111'11 oh:1b1..·o C'..!!!.!** Telephone 407-740-73 11 Fax 407-740-6441 ### REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Member of Advanced Strategies Broker Dealer LLC #### **Opinion on the Financial Statements** We have audited the accompanying statement of financial condition of Advanced Strategies Broker Dealer LLC as of December 31, 2025, the related statements of operations. changes in member's equity. and cash flows for the year then ended, and the related notes (collectively referred to as the "financial statements"). In our opinion. the financial statements present fairly, in all material respects. the financial position of Advanced Strategies Broker Dealer LLC as of December 31 , 2025, and the results of its operations and its cash flows for the year then ended in conformity with accounting principles generally accepted in the United States of America. #### **Basis for Opinion** These financial statements are the responsibility of Advanced Strategies Broker Dealer LLC management. Our responsibility is to express an opinion on Advanced Strategies Broker Dealer LLC's financial statements 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 Advanced Strategies Broker Dealer LLC 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 statements are free of material misstatement. whether due to error or fraud Our audit included performing procedures to assess the risks of matenal misstatement of the financial statements, whether due to error or fraud. and performing procedures that respond to those nsks Such procedures included examining. on a test basis, evidence regarding the amounts and disclosures in the financial statements. Our audit also included evaluating the accounting principles used and significant estimates made by management. as well as evaluating the overall presentation of the financial statements We believe that our audit provides a reasonable basis for our opinion. #### **Auditor's Report on Supplemental Information** The Schedule I, Computation of Net Capital Under Rule 15c3-1 of the Securities and Exchange Act of 1934 and Schedule II, Computation for Determination of Reserve Requirements of 1934 and Information Relating to Possession or Control Requirements Under Rule 15c3-3 of the Securities and Exchange Commission have been subjected to audit procedures performed in conjunction with the audit of Advanced Strategies Broker Dealer LLC's financial statements. The supplemental information is the responsibility of Advanced Strategies Broker Dealer LLC's management. Our audit procedures included determining whether the supplemental information reconciles to the financial statements or the underlying accounting and other records, as applicable. and performing procedures to test the completeness and accuracy of the information presented in the supplemental information. In forming our opinion on the supplemental information, we evaluated whether the supplemental information, including its form and content, is presented in conformity with 17 C.F.R. §240.1 ?a-5. In our opinion. the Schedule I, Computation of Net Capital Under Rule 15c3-1 of the Securities and Exchange Act of 1934 and Schedule II, Computation for Determination of Reserve Requirements of 1934 and Information Relating to Possession or Control Requirements Under Rule 15c3-3 of the Securities and Exchange Commission are fairly stated. tn all material respects. in relation to the financial statements as a whole. &-l.cvV c-,--rf2. ~ . *(Jfl---* We have served as Advanced Strategies Broker Dealer LLC's auditor since 2020 Maitland. Florida March 25, 2026 {16}------------------------------------------------ ![](_page_16_Picture_0.jpeg) 100 E. S)bclia Ave. Suite 130 Ma1tland. FL 32751 Cer11jil!d 1'11bhc Accn11111a111s 1. 111.111 p,,111 ,, 11h:1h"\_o.t:n1n Telephone 407-740-7311 Pax 407-740-6441 #### REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Member of Advanced Strategies Broker Dealer LLC We have reviewed management's statements. included in the accompanying Exemption Report in which ( 1) Advanced Strategies Broker Dealer LLC identified the following provision of 17 C.F R §15c3-3(k) under which Advanced Strategies Broker Dealer LLC claimed an exemption from 17 C.F.R. §240.15c3-3 (k)(1) (exemption provIsIon) and (2) Advanced Strategies Broker Dealer LLC stated that Advanced Strategies Broker Dealer LLC met the 1dentif1ed exemption provision throughout the most recent fiscal year without exception. Advanced Strategies Broker Dealer LLC's management Is responsible for compliance with the exemption provision and its statements. Our review was conducted in accordance with the standards of the Public Company Accounting Oversight Board (United States) and. accordingly. included inqumes and other required procedures to obtain evidence about Advanced Strategies Broker Dealer LLC's compliance with the exemption provision. A review is substantially less in scope than an examination. the objective of which is the expression of an opinion on management's statements Accordingly, we do not express such an opinion. Based on our review, we are not aware of any material modifications that should be made to management's statements referred to above for them to be fairly stated, in all material respects, based on the provision set forth in paragraph (k)( 1) of Rule 15c3-3 under the Securities Exchange Act of 1934. ~ ' ~y Ohab and Company, PA Maitland, Florida March 25, 2026 Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.