# OMEGA POINT SECURITIES LLC X-17A-5 (2026-03-31) — Broker-dealer annual report - Company: OMEGA POINT SECURITIES LLC - Form: X-17A-5 - Filed: 2026-03-31 - Period: 2025-12-31 - Accession: 0001584977-26-000001 - CIK: 1584977 - File #: 8-69344 - Type: Broker-dealer - Material weakness: No - Auditor: Rubio CPA, PC - Auditor location: Atlanta, GA - Contact: Jonathan Self - Phone: 404-596-5393 - Email: jself@omptsecurities.com - Website: omptsecurities.com - Signed by: Jonathan Self (CEO/CFO) Original filing: https://www.sec.gov/Archives/edgar/data/1584977/000158497726000001/opspublic1.pdf --- {0}------------------------------------------------ | FOR PUBLIC RELEASE ] | UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549 | | 0MB Number: 3235--0123
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hours per response: 12 | | |---------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------|----------------------|--------------------------------------------------------------------------------------------------------|--| | | ANNUAL REPORTS | | | | | | FORM X-17A-S | | SEC FILE NUMBER | | | | PART Ill | | 8-69344 | | | FILING FOR THE PERIOD BEGINNING 0 1/01 /25 | FACING PAGE
Information Required Pursuant to Rules 17a-5, 17a-l2, and l8a-7 under the Securities Exchange Act of 1934
MM/DD/YY | AND ENDING 12/31 /25 | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME oF FIRM: Omega Point Securities LLC | | | | | | 0 Broker-dealer
D Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer
ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | □ Major security-based swap participant | | | | | | | | | 3455 Peachtree Road NE, Suite 500 | | | | | | Atlanta | (No. and Street)
GA | | 30326 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FI | LING | | | | | Jonathan Self | 404-596-5393 | | jself@omptsecurities.com | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | RUBIO CPA, PC | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing• | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 3500 Lenox Road NE, Suite 1500 Atlanta | | GA | 30326 | | | (Address) | (City) | (State) | (Zip Code) | | | 05/05/09
(Date of Re istration with PCAOB if a | | 3514 | (PCAOB Re istration Number if a
licable | | | | licable
FOR OFFICIAL USE ONLY | | | | | | | | | | 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, Jonathan Self | swear (or affirm) that, to the best of my knowledge and belief, the | | |-----------------------------------------------------------------------|---------------------------------------------------------------------|-------| | financial report pertaining to the firm of Omega Point Securities LLC | | as of | December 31 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. 0 Signature: -----2- \_....,. ~ ~ • ...........-- '- 1b Title: ( - '--- Cfoo /Cf-D-" - ii (a) Statement of financial condition. - ii (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. - □ (f) Statement of changes in liabilities subordinated to claims of creditors. - □ (g) Notes to consolidated financial statements. - □ (hi Computation of net capital under 17 CFR 240.15c3-1 or 17 CFR 240.18a-1, as applicable. - 0 (i) Computation of tangible net worth under 17 CFR 240.18a-2. - □ U) Computation for determination of customer reserve requirements pursuant to Exhibit A to 17 CFR 240.15c3-3. - □ (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. - □ (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. - □ (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. - 0 (p) Summary of financial data for subsidiaries not consolidated in the statement of financial condition. - ii (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 240.18a-7, as applicable. - □ (s) Exemption report in accordance with 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable. - ~ (t) Independent public accountant's report based on an examination of the statement of financial condition. - 0 (u) Independent public accountant's report based on an examination of the financial report or financial statements under 17 CFR 240.17a-S, 17 CFR 240.18a-7, or 17 CFR 240.17a-12, as applicable. - □ (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. - □ (x) Supplemental reports on applying agreed-upon procedures, in accordance with 17 CFR 240.15c3-1e or 17 CFR 240.17a-12, as applicable. - □ (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). □ (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 applicable. {2}------------------------------------------------ STATEMENT OF FINANCIAL CONDITION DECEMBER 31 , 2025 WITH REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM {3}------------------------------------------------ # **Table of Contents** | Report of Independent Registered Public Accounting Firm



1 | | |--------------------------------------------------------------------------|--| | Statement of Financial Condition






2 | | | Notes to Financial Statement. 3-4 | | {4}------------------------------------------------ # **RUBIO CPA, PC** CERTIFIED PUBLIC ACCOUNTANTS 3500 Lenox Road NE Suite 1500 Atlanta , GA 30326 770-690-8995 # **REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM** To the Member of Omega Point Securities, LLC #### Opinion on the Financial Statement We have audited the accompanying statement of financial condition of Omega Point Securities, LLC (the "Company") as of December 31, 2025, and 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 Company's management. Our responsibility is to express an opinion on the Company's 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. The Company is not required to have, nor were we engaged to perform, an audit of its internal control over financial reporting. As part of our audit, we are required to obtain an understanding of internal control over financial reporting but not for the purpose of expressing an opinion on the effectiveness of the Company's internal control over financial reporting. Accordingly, we express no such opinion. Our audit included performing procedures to assess the risks of material misstatement to 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 presentation of the financial statement. We believe that our audit provides a reasonable basis for our opinion. We have served as the Company's auditor since 2025. March 30, 2026 Atlanta, Georgia **~CH\~** Rubio CPA~ PC {5}------------------------------------------------ #### **STATEMENT OF FINANCIAL CONDITION DECEMBER 31, 2025** | ASSETS
Cash
Accounts receivable
Prepaid expenses and deposits | \$ | 76,664
126,500
1,828 | |------------------------------------------------------------------------|------|----------------------------| | TOTAL ASSETS | I \$ | 204,992 | | | | | | LIABILITIES AND MEMBER'S EQUITY | | | | LIABILITIES
Accounts payable and accrued expenses | \$ | 16,048 | | TOTAL LIABILITIES | I | 16,048 | | MEMBER'S EQUITY | | 188,944 | | TOTAL LIABILITIES AND MEMBER'S EQUITY | I \$ | 204,992 | | | | | The accompanying notes are an integral part of this financial statement. {6}------------------------------------------------ NOTES TO FINANCIAL STATEMENT DECEMBER 31, 2025 ### **1. ORGANIZATION AND NATURE OF BUSINESS** Omega Point Securities, LLC ("the Company") is a broker-dealer registered with the Securities and Exchange Commission (the "SEC") and is a member of the Financial Industry Regulatory Authority, Inc. ("FINRA"). The Company is a wholly owned subsidiary of OP Acquisition, LLC ("the Member"). The Company was formed as a limited liability company ("LLC") in Delaware on August 6, 2013 and was approved as a broker-dealer and member of FINRA on May 12, 2014. As a limited liability company, the Member's liability is limited to its investment. The Company primarily provides referrals to execution brokers. ## **2. SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES** **Cash** - The Company maintains its bank account in a high credit quality financial institution. The balance at times may exceed insured limits. **Income taxes** - The Company is a single-member limited liability company and is a disregarded entity for federal and state income tax purposes. As a result, the tax consequences of the Company's operations all pass through to the Member. Accordingly, no provision for federal or state income taxes has been made in the Company's financial statements. The Company evaluates the income tax positions taken to determine whether or not they are more-likely thannot of being sustained when challenged or examined by the applicable tax authority. Tax positions not deemed to meet the more-likely-than-not threshold would be recorded as a tax expense and liability in the current year. For the year ended December 31, 2025, management has determined that there are no material uncertain income tax positions that impacted the Company's financial statements. **Accounts Receivable** - Accounts receivable are non-interest bearing uncollateralized obligations receivable in accordance with the terms agreed upon with each customer. The Company regularly reviews its accounts receivable for any uncollectible amounts. The review for uncollectible amounts is based on an analysis of the Company's collection experience, customer credit worthiness, and current economic trends. Based on the Company's review, no allowance for credit losses is considered necessary. **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 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}------------------------------------------------ # **3. NET CAPITAL REQUIREMENTS** The Company is subject to the net capital requirements of SEC Rule 15c3-1 which require maintenance of a minimum net capital and requires that the ratio of aggregate indebtedness to net capital not exceed 15 to 1. As of December 31, 2025, the Company's net capital was \$60,616, which was \$55,616 in excess of its minimum net capital requirement of \$5,000. The Company's ratio of aggregate indebtedness to net capital was .26 to 1. # **4. CONTINGENCIES** The Company is subject to litigation in the normal course of business. The Company has no litigation in progress at December 31,2025. ## **5. CONCENTRATION** All of accounts receivable at December 31, 2025, is due from contracts in place with two brokerdealers. # **6. RELATED PARTY TRANSACTIONS** The Company's Member is wholly owned by Omega Point Research, Inc., who operates an investment platform used by investment managers for data analyses. The Company exclusively refers investment managers who are customers of Omega Point Research, Inc. to other brokerdealers. The Member at times pays operating expenses on behalf of the Company for which it subsequently seeks reimbursement or forgives the amount to which it is entitled to be reimbursed which is recorded as a capital contribution by the Company. There was no balance due to the Member as of December 31, 2025 as a result of the Member's payment of such expenses. The Company operates from office space provided by its chief executive officer pursuant to an informal arrangement. Financial position and results of operations might differ from the amounts in the accompanying financial statements if these related party transactions did not exist. #### **7. SEGMENT REPORTING** The Company has one reportable segment: customer referrals to execution brokers. The Company has identified its CEO as the chief operating decision maker ("CODM"), who uses net income to evaluate the results of the business, predominantly in the forecasting process, to manage the Company. Additionally, the CODM uses excess net capital (see Note 3), which is not a measure of profit and loss, to make operational decisions while maintaining capital adequacy, such as whether to reinvest profits or pay distributions. The Company's operations constitute a single operating segment and 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. # **8. SUBSEQUENT EVENTS** Subsequent events were evaluated through the date the financial statements were issued. Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.