Full text of PHILLIP CAPITAL INC.'s X-17A-5 filed 2025-08-29 (period 2025-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### **Phillip Capital Inc. FINANCIAL STATEMENT AND SUPPLEMENTARY SCHEDULES June 30, 2025 PUBLIC** Filed as PUBLIC information pursuant to Rule 17a-5(d) under the Securities Exchange Act of 1934 and Regulation 1.1 O(g) under the Commodity Exchange Act. {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** **0MB** Number: 3235-0123 Expires: Nov.30, 2026 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | | | SEC FILE.l'JUMB~R | | |--|--|-------------------|--| 0MB APPROVAL 8-69558 **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and lSa-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING | ___<br>0_7_/0_1_/2_0_2_4 | __<br>AND ENDING | ___ | __<br>_<br>0_6/_3_0/_2_02_5 | |---------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------|-----------------------------------------|-----------------|------------------------------------------| | | MM/00/YY | | | MM/00/YY | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM:<br>Phillip Capital Inc. | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>IZl Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | □ Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 141 W. Jackson Blvd., Suite 1531A | | | | | | | (No. and Street) | | | | | Chicago | IL | | | 60604-2653 | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Filippo Lecchini | (312) 356-9000 | | | filippo@phillipcapital.com | | (Name) | (Area Code-Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Ryan & Juraska LLP Certified Public Accountants | | | | | | | (Name -if individual, state last, first, and middle name) | | | | | 141 W. Jackson Blvd., Suite 2250 | Chicago | | IL | 60604 | | (Address) | (City) | | (State) | (Zip Code) | | March 24, 2009 | | | 3407 | | | (Date of Registration with PCAOB)(if applicable] | | | | (PCAOB Registration Number if applicable | | | FOR OFFICIAL USE ONL V | | | | • Claims for exemptio…Read the full text as markdown