# ROCKDALE SECURITIES, LLC X-17A-5 (2026-03-10) — Broker-dealer annual report
- Company: ROCKDALE SECURITIES, LLC
- Form: X-17A-5
- Filed: 2026-03-10
- Period: 2025-12-31
- Accession: 0001592065-26-000005
- CIK: 1592065
- File #: 8-69392
- Type: Broker-dealer
- Material weakness: No
- Auditor: Sanville & Company
- Auditor location: Huntingdon Valley, PA
- Contact: Adrienne Yost Hart
- Phone: 215-816-2800
- Email: ahart@rockdalesecurities.com
- Website: rockdalesecurities.com
- Signed by: Adrienne Yost Hart (Chief Compliance Officer)
Original filing: https://www.sec.gov/Archives/edgar/data/1592065/000159206526000005/RockdaleShort-.pdf
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#### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
| ANN
UAL REPORTS |
|--------------------|
| FORM X-17A-S |
| PARTIII |
0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30. 2026 Estimated average burden hours per response: 12
### SEC FILE NUMBER 8-069392
FACING PAGE
Information Required Pu rsuant t o Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934
| FILING FOR THE PERIOD BEGINNING Q 1 /Q 1 /2025 | AND ENDING 12/31 | /2025 |
|--------------------------------------------------|------------------|----------|
| MM/ DD/YY | | MM/DD/YY |
| A. REGISTRANT IDENTIFICATION | | |
| NAME oF FIRM: Rockdale Securities, LLC | | |
| TYPE OF REGISTRANT (check all applicable boxes): | | |
~ Broker-dealer D Security-based swap dealer 0 Major security-based swap participant D Check here if respondent is also an OTC derivatives de.aler
ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.)
# **270 South Main Street, Suite 103**
| | ( No. and Street) | |
|-----------|-------------------|------------|
| Bountiful | Utah | 84010 |
| (City) | (State) | (Zip Code) |
PERSON TO CONTACT WITH REGARD TO THIS FILING
| Adrienne Yost Hart | 2158162800 | ahart@rockdalesecurities.com |
|--------------------|------------|------------------------------|
| | | |
(Name) (Area Code - Telephone Number) (Email Address)
### 8 . ACCOUNTANT IDENTIFICATION
INDEPENDENT PUBLIC ACCOUNTANT w hose reports are contained in t his filing\*
## **Sanville & Company**
(N.ame - if individual, state last, first, and middle name)
| 2617 Huntingdon Pike | Huntingdon Valley | PA | 19006 |
|--------------------------------------------------|-----------------------|--------------------------------------------|------------|
| (Address) | (City) | (State) | (Zip Code) |
| 9/18/2003 | 169 | | |
| (Date of ReRistration with PCAOB)(if applicable) | | (PCAOB Registration Number, if applicable) | |
| | FOR OFFICIAL USE 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.l?a-S(e}(l)(ii), if applicable.
Persons who are to respond to the collection of information contained in t his form are not required to respond unless the form displays a currently valid 0MB control number.
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#### OATH OR AFFIRMATION
I, Adrienne Yost Hart swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of Rockdale Securities, LLC as of
December 31 2~ is true and correct. I further sw ear (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.
**This fil~~alzlcable bo,es),**
- I!! (a) Statement of financial condition.
- I!! {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.
- D (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.
- 0 (i) Computation of tangible net worth under 17 CFR 240.18a-2.
- 0 (j) 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 240.1Sc3-3 or Exhibit A to 17 CFR 240.18a-4, as applicable.
- □ (1) Computation for Determination of PAB Requirements under Exhibit A to§ 240.15c3-3.
- 0 (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.
- 0 (o) Reconciliations, including appropriate explanations, of the FOCUS Report with computation of net capital or tangible net worth under 17 CFR 240.1Sc3-1, 17 CFR 240.18a-1, or 17 CFR 240.18a-2, as applicable, and the reserve requirements under 17 CFR 240.1Sc3-3 or 17 CFR 240.18a-4, as applicable, if material differences exist, or a statement that no material differences exist.
- □ (p) Summary of financial data for subsidiaries not consolidated in the statement of financial condition.
- **!I!!** (q) Oath or affirmation in accordance with 17 CFR 240.l 7a-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.
- Iii (t) Independent public accountant's report based on an examination of the statement of financial condition.
- D (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.
- □ (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.
- 0 (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). □ (z) Other:---------------------- - - ---------- - - -
-
\*\*To request confidential treatment of certain portions of this filing, see 17 CFR 240.17a-5(e){3) or 17 CFR 240.18o-7(d)(2}, as opplicoble.
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### **ROCKDALE SECURITIES, LLC**
# **SEC Annual Audited Report Form X-17A-5 Part Ill, Facing Page and Oath or Affirmation and Report of Independent Registered Public Accounting Firm and Financial Statement**
**For the Year Ended December 31, 2025**
Filed as PUBLIC information pursuant to Rule 17a-5(d) under the Securities Exchange Act of 1934.
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### ROCKDALE SECURITIES, LLC
### Table of Contents
| Annual Audited Report Form X-17A-S Part Ill Facing Page
Annual Audited Report Form X-17A-S Part Ill Oath or Affirmation | 1
2 | |
|----------------------------------------------------------------------------------------------------------------------------|--------|--|
| Report of Independent Registered Public Accounting Firm | 4 | |
| Financial Statement | | |
| Statement of Financial Condition | 5 | |
| Notes to the Financial Statements | 6-10 | |
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2617 Huntingdon Pike Huntingdon Valley, PA 19006 215.884.8460
### **REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM**
To the Members and Those Charged With Governance of Rockdale Securities, LLC
#### **Opinion on the Financial Statement**
We have audited the accompanying statement of financial condition of Rockdale Securities, LLC (the "Company") as of December 31, 2025, and the related notes (collectively refe1Ted to as the "financial statement"). In our opinion, the statement of financial condition presents fairly, in all mate1ial 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 Secmities 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 perfom1 the audit to obtain reasonable assurance about whether the financial statement is free of mate1ial misstatement, whether due to eITor or fraud. The Company is not required to have, nor were we engaged to perfonn, 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 repo1ting. Accordingly, we express no such opinion.
Our audit included perfoITning procedures to assess the risks of mate1ial misstatement of the financial statement, whether due to error or fraud, and performing procedures that respond to those 1isks. 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.
sa11v1Ue a11d co111pa11y
We have served as the Company's auditor since 2019 Huntingdon Valley, Pennsylvania March 6, 2026
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### **ROCKDALE SECURITIES, LLC STATEMENT OF FINANCIAL CONDITION DECEMBER 31, 2025**
#### **ASSETS**
| Cash | \$
68,635 |
|------------------|--------------|
| Prepaid expenses | 2,881 |
| Goodwill | 231588 |
| Total assets | \$
95,104 |
### **LIABILITIES AND MEMBERS' EQUITY**
| Accounts Payable
Members' equity | \$ | 71000 |
|---------------------------------------|----|--------|
| | | 881104 |
| Total liabilities and members' equity | \$ | 95,104 |
The accompanying notes are an integral part of these financial statements.
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### **Notes to Financial Statements**
#### **Note 1. Nature of Business**
Rockdale Securities, LLC (the "Company"), is domiciled in Bountiful, Utah and is registered in both Utah and the state of New York. It operates as a broker-dealer registered with the U.S. Securities and Exchange Commission ("SEC") and is a member of the Financial Industry Regulatory Authority ("FINRA"). It is also registered with the Securities Investor Protection Corporation ("SIPC").
The Company was purchased from Rockdale Holdings in May, 2025 and executed a membership agreement with FINRA on May 2, 2025. With the execution of the new membership agreement the Company has expanded its permitted activities, previously limited to activities permitted for a capital acquisition broker, including mergers and acquisitions advisory services and corporate finance advice. Under the new FINRA membership agreement the Company is permitted to engage in managing broker dealer activities along with holding a limited number of "Friends and Family" accounts. The Company is a limited liability company owned by several different entities.
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### **Note 2. Significant Accounting Policies**
The Company follows accounting standards established by the Financial Accounting Standards Board (the "FASB") to ensure consistent reporting of financial condition, results of operations and cash flows. References to accounting principles generally accepted in the United States of America ("U.S. GAAP") in these footnotes are to the FASB Accounting Standards Codification™, sometimes referred to as the "Codification" or "ASC".
The Company prepares its financial statements in accordance w ith U.S. GAAP.
### Furniture and Equipment
Furniture and equipment are recorded at cost and are depreciated over 5 years on a straight-line basis, which is the estimated useful lives of the asset s.
### Use of Estimates
The preparation of financial statements in conformity with U.S. GAAP 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.
### Revenue Recognition
The Company did not earn any revenue during the year ended December 31, 2025. The Company shall recognize revenue in connection w ith the conduct of its activities in accordance with FASB Topic 606, "Revenue from Contracts w ith Customers", which stipulates that revenue is generally realized when, or as, the Company's performance obligations are satisfied by transferring the promised goods or services to the Company's customers.
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### **Note 3. Income Taxes**
The Company is taxed as a limited liability company, and, as such, all profits and losses are passed through to the individual members. As necessary, the Company may pay state franchise taxes and other required jurisdictions. Such payments will be recorded in the financial statements. The Company shall follow the provisions of FASB Accounting Standards Codification (ASC) Subtopics 740- 10 Accounting for Uncertainty in Income Taxes. For the year ended December 31, 2025 no revenues have been generated so management has determined that there are no uncertain income tax provisions. As revenue is generated, the Company will continue to evaluate for uncertain tax positions into the future.
### **Note 4. Net Capital Requirement**
The Company is subject to the SEC Uniform Net Capital Rule (Rule 15c3-1), which requires the maintenance of minimum net capital and requires that the ratio of aggregate indebtedness to net capital, both as defined, shall not exceed 15 to 1. The Company maintains minimum regulatory net capital, as defined, equal to the greater of \$5,000 or 6-2/3% of aggregate indebtedness, as defined.
On December 31, 2025, the Company had a net capital of \$61,635 which was \$56,635 in excess of its required minimum net capital of \$5,000. The Company had an aggregate indebtedness of \$7,000 and its ratio of aggregate indebtedness to net capital was .11 to 1.
### **Note 5. Commitmen'ts and Contingencies**
As of December 31, 2025, the Company is not aware of any commitments, contingencies or guarantees that might result in a loss or any future obligation.
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### **Note 6. Related Party**
During 2025, the members of the limited liability company contributed \$160,000 in capital to the Company.
### **Note 7. Concentration of Credit Risk**
The Company maintains all cash balances in one financial institution that, at times, might exceed the amount insured by the Federal Deposit Insurance Corporation. The exposure to the Company is solely dependent on daily bank balances and the strength of the financial institution. The Company has not incurred any losses to date. At December 31, 2025, there were no amounts in excess of insured limits.
### **Note 8. Going Concern**
In connection w ith the Company's assessment of going concern considerations in accordance with ASU 2014-15 "Disclosures of uncertainties about an entity's ability to continue as a going concern", management has determined that the Company has access to funds from an affiliate, that is under common ownership, that are sufficient to fund the working capital and minimum net capital needs of the Company for one year from the date of issuance of these financial statements and the ownership of both entities has committed to such funding.
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#### **Note 9. Segment Reporting**
In November 2023, the FASB issued ASU 2023-07, which introduces improvements to the information that a public entity discloses about its reportable segments and addresses investor requests for more information about reportable segment expenses. The ASU does not change the current guidance related to the identification of operating segments, the determination of reportable segments, or the aggregation criteria. Rather, the new guidance introduces additional disclosure requirements and expands those requirements to entities with a single reportable segment, not just entities with multiple reportable segments. The Company has determined that it operates in a single segment.
#### **Note 10. Subsequent Events**
The Company evaluated all events or transactions that have occurred since the acquisition in May, 2025 through the date these financial statements were available to be issued. During this period, the Company did not have any material, or recognizable, subsequent events. This includes no significant legal matters, fraud, purchase/sales agreements related to the Company or any other significant matters.
Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.