Full text of RICHARD JAMES & ASSOCIATES, INC.'s X-17A-5 filed 2026-04-24 (period 2025-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ RICHARD JAMES & ASSOCIATES, INC. STATEMENT OF FINANCIAL CONDITION DECEMBER 31, 2025 **PUBLIC** {1}------------------------------------------------ OMB APPROVAL UNITED STATES OMB Number: 3235-0123 SECURITIES AND EXCHANGE COMMISSION Expires: Nov. 30, 2026 Washington, D.C. 20549 Estimated average burden hours per response: 12 ANNUAL REPORTS SEC FILE NUMBER FORM X-17A-5 8-69352 PART III FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 AND ENDING 12/31/25 filing for the period beginning 1/1/25 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: RICHARD JAMES & ASSOCIATES, INC. TYPE OF REGISTRANT (check all applicable boxes): Broker-dealer □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 2 ROOSEVELT AVE. STE. 102 (No. and Street) 11791 NY SYOSSET (Zip Code) (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 516-200-3173 PHIL FLORIO PFLORIO@RJANY.COM (Email Address) (Area Code - Telephone Number) (Name) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* NAWROCKI SMITH (Name – if individual, state last, first, and middle name) 100 MOTOR PARKWAY, STE. 580 HAUPPAUGE NY 11788 (State) (Zip Code) (Address) (City) 3/4/2009 3370 (PCAOB Registration Number, if applicable) (Date of Registration with PCAOB)(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 | PHIL FLORIO | | | swear (or affirm) that, to the best of my knowledge and belief, the | | |-------------|--|--|-----------------------------------------------------------------------------|-------| | | | | financial report pertaining to the firm of RICHARD JAMES & ASSOCIATES, INC. | as of | | | | | 2 025 | | | | | | | | partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classified solely as that of a custome o…Read the full text as markdown