# YR SECURITIES LLC X-17A-5 (2025-08-28) — Broker-dealer annual report - Company: YR SECURITIES LLC - Form: X-17A-5 - Filed: 2025-08-28 - Period: 2025-06-30 - Accession: 0001630817-25-000004 - CIK: 1630817 - File #: 8-69578 - Type: Broker-dealer - Material weakness: No - Auditor: Meadows Urquhart Acree & Cook LLP - Auditor location: Henrico, VA - Contact: Jennifer Nelson - Phone: 757-218-6741 - Email: bill@yrsecurities.com - Website: yrsecurities.com - Signed by: William T. Roach (Owner / Principal) Original filing: https://www.sec.gov/Archives/edgar/data/1630817/000163081725000004/YRSecuritiesLLC_FINAL.pdf --- {0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ## ANNUAL REPORTS FORM X-17A-5 PART III 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 07/01/2024 AND ENDING 06/30/2025 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: YR Securities, LLC TYPE OF REGISTRANT (check all applicable boxes): Broker-dealer ☐ Security-based swap dealer Check here if respondent is also an OTC derivatives dealer Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 309 W Bute Street | | (No. and Street) | | | |--------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------|----------------| | Norfolk | Virginia | | 23510 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | William T Roach | 757-961-0067 X 103 | bill@yrsecurities.com | | | (Name) | (Area Code - Telephone Number) | (EmailAddress) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*
Meadows Urquhart Acree & Cook, LLP
(Name - if individual, state last, first, and middle name) | | | | 1802 Bayberry Court, Suite 102 Henrico | | | Virginia 23226 | | | (City) | (State) | | | (Address) | | | (Zip Code) | | 09/29/2009 | | 3688 | | | (Date of Registration with PCAOB)(if applicable) | | (PCAOB Registration Number, if applicable) | | \* 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 240.17a-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. OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-69578 {1}------------------------------------------------ #### OATH OR AFFIRMATION | | I. William T Roach
_ swear (or affirm) that, to the best of my knowledge and belief, the | |------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | 6/30 | _as of
financial report pertaining to the firm of YR Securities, LLC | | | , 2 025, 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. | | | MEERLEE NELSC
JENN
NOTARY | | | 1-TK
PUBLIC
Signature: | | | REG#7248752
MY COMMISSION
Title: | | | EXPIRES
Owner/Principal | | | 07/31/2029. | | | SALTH OFVIRG
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Notary Public | | | Syred 0881/33
vn
in | | | William T Rench
This filing** contains (check all applicable boxes): | | | (a) Statement of financial condition. | | | (b) Notes to consolidated statement of financial condition. | | Π | (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. | | Π | (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. | | Π | (h) Computation of net capital under 17 CFR 240.15c3-1 or 17 CFR 240.18a-1, as applicable. | | | (i) Computation of tangible net worth under 17 CFR 240.18a-2. | | | (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 240.15c3-3 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. | | | (p) Summary of financial data for subsidiaries not consolidated in the statement of financial condition. | | Π | (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. | | | (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. | | Π | (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}------------------------------------------------ **Financial Statements** **June 30, 2025** ## **SEC ID 8-69578** {3}------------------------------------------------ #### **Contents** | Report
of
Independent
Registered
Public
Accounting
Firm

1 | |--------------------------------------------------------------------------------------------------------------| | Financial
Statements: | | Statement
of
Financial
Condition
2 | | Statement
of
Operations
3 | | Statement
of
Changes
in
Members'
Equity
4 | | Statement
of
Cash
Flows
5 | | Notes
to
Financial
Statements
6
–
9 | | Supplemental
Information: | | Schedule
I
–
Computation
of
Net
Capital
Under
Rule
15c3‐1 | | of
the
Securities
Exchange
Act
of
1934
10 | | Schedule
II
–
Computation
for
Determination
of
the
Reserve
Requirements | | Under
Rule
15c3‐3
(exemption)
11 | | Schedule
III
–
Information
for
Possession
or
Control
Requirements | | Under
Rule
15c3‐3
(exemption)
11 | | Report
of
Independent
Registered
Public
Accounting
Firm
on
Exemption
Report
12 | | YR
Securities,
LLC's
Exemption
Report

13 | {4}------------------------------------------------ ![](_page_4_Picture_0.jpeg) #### **Report of Independent Registered Public Accounting Firm** To the Members of YR Securities, LLC #### **Opinion on the Financial Statements** We have audited the accompanying statement of financial condition of YR Securities, LLC as of June 30, 2025, the related statements of operations, changes in members' 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 YR Securities, LLC as of June 30, 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 YR Securities, LLC's management. Our responsibility is to express an opinion on YR Securities, 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 YR Securities, 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 material misstatement of the financial statements, 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 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. #### **Supplemental Information** The Schedule I, Computation of Net Capital Under Rule 15c3-1 of the Securities Exchange Act of 1934, Schedule II, Computation for Determination of the Reserve Requirements Under Rule 15c3-3 (exemption) and Schedule III, Information for Possession or Control Requirements Under Rule 15c3-3 (exemption) have been subjected to audit procedures performed in conjunction with the audit of YR Securities, LLC's financial statements. The supplemental information is the responsibility of YR Securities, 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. §240.17a-5. In our opinion, the supplemental information is fairly stated, in all material respects, in relation to the financial statements as a whole. We have served as YR Securities, LLC's auditor since 2019. Henrico, Virginia August 21, 2025 {5}------------------------------------------------ #### **Statement of Financial Condition June 30, 2025** | Assets
Cash
Commissions receivable
Prepaid assets | \$
28,187
19,488
4,298 | |------------------------------------------------------------|---------------------------------| | Total current assets | 51,973 | | Intangible asset, net | 35,000 | | Total assets | \$
86,973 | | Liabilities and Members' Equity
Liabilities | | | Accrued expenses | \$
18,943 | | Total current liabilities | 18,943 | | Members' equity | 68,030 | | Total liabilities and member's equity | \$
86,973 | {6}------------------------------------------------ ## **Statement of Operations** **Year Ended June 30, 2025** | Revenues | | |------------------------------------|-------------| | Commission income | \$
9,141 | | Trail income | 168,334 | | Total revenues | 177,475 | | Operating Expenses | | | Payroll | 97,172 | | Professional fees | 32,750 | | Occupancy and equiptment | 12,000 | | Insurance | 11,300 | | Regulatory fees | 8,189 | | Amortization | 5,000 | | Technology, data and communication | 3,000 | | Other | 1,649 | | Travel and entertainment | 1,459 | | Depreciation | 154 | | Total operating expenses | 172,673 | | Net income | \$
4,802 | {7}------------------------------------------------ #### **Statement of Changes in Members' Equity Year Ended June 30, 2025** | | Total | |--------------------------|--------------| | Balance at July 1, 2024 | \$
63,228 | | Net income | 4,802 | | Balance at June 30, 2025 | \$
68,030 | | | | {8}------------------------------------------------ # **Statement of Cash Flows** **Year Ended June 30, 2025** | Cash Flows From Operating Activities
Net income | \$
4,802 | |--------------------------------------------------------------------------------------|--------------| | Adjustments to reconcile net income to net cash
provided by operating activities: | | | Depreciation | 154 | | Amortization | 5,000 | | Decrease (increase) in assets: | | | Commissions receivable | 2,009 | | Prepaid assets | (1,204) | | Due from related party | 2,875 | | (Decrease) in liabilities: | | | Accrued expenses | (2,227) | | Net cash provided by operating activities | 11,409 | | Net change in cash | 11,409 | | Cash, beginning of year | 16,778 | | Cash, end of year | \$
28,187 | {9}------------------------------------------------ **YR Securities, LLC June 30, 2025** #### **Notes to Financial Statements** #### **Note 1—Nature of Business and Summary of Significant Accounting Policies** Nature of Business: YR Securities, LLC (the Firm) is currently organized as an LLC Virginia partnership. As of September 23, 2015, the Firm became a registered broker/dealer with the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). The Firm is a limited‐service financial firm headquartered in Norfolk, Virginia. The Firm engages in application way business with various mutual funds and insurance companies. Revenue is earned through commissions on transactions and fee trails based on a percentage of account values held with its customers. The majority of the Firm's customers are in the southeastern United States. ## **Note 2—Accounting and Reporting Principles** A summary of the Firm's significant accounting policies is as follows: Basis of Accounting: The accounting and reporting policies of the Firm are on the accrual basis of accounting which is in accordance with accounting principles generally accepted in the United States of America ("US GAAP"). Adoption of FASB ASU 2023‐07: The Firm adopted FASB ASU 2023‐07, *Segment Reporting (Topic280): Improvements to Reportable Segment Disclosures (ASU 2023‐07)*. ASU 2023‐07 improves reportable segment disclosures and enhances disclosures of reportable segment expenses. The Firm adopted this new guidance utilizing the retrospective transition method. The adoption of ASU 2023‐07 did not have a material impact on the Firm's financial statements but did require additional disclosure. Use of Estimates: The preparation of financial statements in conformity with US GAAP requires management to make estimates and assumptions that affect certain reported amounts and disclosures. Accordingly, actual results could differ from those estimates. Revenue: Revenue consists of commission income and trail income. The Firm recognizes revenue from contracts with customers according to a five‐step revenue recognition model: (1) identify the contract(s) with a customer, (2) identify the performance obligations in the contract, (3) determine the transaction price, (4) allocate the transaction price to the performance obligations in the contract, and (5) recognize revenue when (or as) the entity satisfies a performance obligation. The Firm's contracts and customers generally contain a single performance obligation or separately identified performance obligations, each with a stated transaction price and generally do not involve a significant timing difference between satisfaction with the performance obligation and customer payment. Revenues are recognized over time or at a point in time as the performance obligations are satisfied. Recognition of these revenues does not involve significant estimates or constraints. Commission income is recognized when a performance obligation is satisfied at a point in time, on a trade date basis. Trail income associated with annuity investments is recognized over time, as earned. Trail income is generally based on a percentage of the annuity premium or the account value of the investment. These revenues are shown disaggregated on the statement of operations. {10}------------------------------------------------ **YR Securities, LLC June 30, 2025** #### **Notes to Financial Statements** ## **Note 2—Accounting and Reporting Principles (continued)** Commissions Receivable: Commissions receivable represent principal transactions which have not yet been settled. The Firm recognizes an allowance for credit losses in accordance with ASU 2016‐13, Financial Instruments ‐ Credit Losses (ASC 326). ASC 326 requires immediate recognition of expected credit losses for certain financial assets and off‐balance sheet commitments, including trade and other receivables, loans and commitments and other financial assets held at amortized cost at the reporting date, to be measured based on historical experience, current conditions, and reasonable and supportable forecasts. The Firm determined there were no credit losses to recognize as of June 30, 2025. Fixed Assets, Net: Fixed assets, net consists of computer equipment stated at cost net of accumulated depreciation. Depreciation is determined on the straight‐line method. Estimated useful lives for the purposes of depreciation are five years. Depreciation expense for the year ended June 30, 2025 was \$154. Income Taxes: The Firm is organized as an LLC, treated as a partnership for tax purposes and is notsubject to income taxes in any jurisdiction. Each partner is responsible for the tax liability, if any, related to its proportionate share of the Partnership's taxable income. Accordingly, no provision for income taxes is reflected in the accompanying financial statements. Financial Accounting Standards Board (FASB) Accounting Standards Codification (ASC) 740, Income Taxes, prescribes a recognition threshold and measurement attribute for the financialstatement recognition and measurement of a tax position taken or expected to be taken in a tax return. The Firm's management has evaluated the impact of this guidance to itsfinancialstatements. The Firm'sincome tax returns are subject to examination by taxing authorities, generally for a period of three years from the date the returns are filed. The Firm's policy isto classify income tax related interest and penaltiesin interest expense and other expenses, respectively. #### **Note 3—Concentrations of Credit Risk** The Firm is engaged in various trading and brokerage activities in which counterparties primarily include broker/dealers, banks and other financial institutions. In the event counterparties do not fulfill their obligations, the Firm may be exposed to risk. The risk of default depends on the credit worthiness of the counterparty or issuer of the instrument. It isthe Firm's policy to review, as necessary, the creditstanding of each counterparty. #### **Note 4—Liabilities Subordinate to Claims of General Creditors** The Firm has no subordination agreements. {11}------------------------------------------------ **YR Securities, LLC June 30, 2025** #### **Notes to Financial Statements** #### N**ote 5—Transactions with Related Parties** The Firm pays rent expense to 309WBS LLC (309WBS), who owns the office building the Firm operates out of. 309WBS is a related party through common ownership. The Firm has a lease agreement in place with 309WBS that outlines the details of these transactions. The Firm'stotal rent expense paid under thislease for the year ended June 30, 2025, was \$12,000. The Firm shares certain expenses with Dominion Capital Wealth Management (DCWM). DCWM is a related party through common ownership. As of June 30, 2025, DCWM was not owed any amount by the Firm and did not owe any amount to the Firm. #### N**ote 6—Intangible Assets** During the year ended June 30, 2018, the Firm purchased a customer list including Assets Under Management for \$75,000. The customer list does not have specific contract terms. As of June 30, 2025, management does not believe there are any current facts or circumstances indicating impairment of the asset. Based on industry experience, management has estimated a 15‐year useful life for the customer list. A total amortization expense of \$5,000 wasrecorded as an operating expense in the Firm'sstatement of operations for the year ended June 30, 2025. Accumulated amortization as of June 30, 2025, was \$40,000. ### N**ote 7—Net Capital Requirements** The firm is subject to the SEC Uniform Net Capital Rule (Rule15c3‐1) ("Rule"), which requires the maintenance of minimum net capital and that the ratio of aggregated indebtedness to net capital as defined by the Rule, shall not exceed 15 to 1. The rule also provides that equity capital may not be withdrawn, or cash distributions paid if the resulting net capital ratio would exceed 10 to 1. On June 30, 2025, the Firm had net capital, as defined, of \$14,106, which was \$9,106 more than its required net capital of \$5,000. The Firm's aggregate indebtedness to net capital ratio was 1.34 to 1.00 on June 30, 2025. #### N**ote 8—Segment InformaƟon** The Firm operates under a single operaƟng and reportable segment that consƟtutes all of the enƟty. The descripƟon of the types of products and services from which the reportable segment derives its revenues as well as the accounƟng policies of the reportable segment are the same as those described in Note 2 "AccounƟng and ReporƟng Principles." The Firm has idenƟfied the Principal of the Firm as the chief operaƟng decision maker who uses net income (loss), which is reported on the statement of operaƟons, and total assets, which is reported on the statement of financial condiƟon, to assess performance and allocate resources, accordingly. {12}------------------------------------------------ #### N**ote 9—Subsequent Events** The Firm has evaluated subsequent events to the balance sheet date for items requiring recording or disclosure in the financial statements. The evaluation was performed through the date the financial statements were available to be issued, which was August 21, 2025. {13}------------------------------------------------ #### **SUPPLEMENTAL INFORMATION** {14}------------------------------------------------ ## **Schedule I - Computation of Net Capital Under Rule 15c3-1 of the Securities Exchange Act of 1934 Year Ended June 30, 2025** | NET CAPITAL | | |--------------------------------------------------------------|--------------| | Member's equity | \$
68,030 | | Nonallowable assets | | | Commissions receivable | 14,626 | | Other assets | 39,298 | | Total nonallowable assets | 53,924 | | Net capital before haircuts on security positions | 14,106 | | Haircuts on securities | - | | Net capital | \$
14,106 | | AGGREGATE INDEBTEDNESS | | | Accounts payable and accrued expenses | \$
18,943 | | COMPUTATION OF BASIC NET CAPITAL REQUIREMENTS | | | Minimum net capital required | | | (the greater of \$5,000 or 6 2/3% of aggregate indebtedness) | \$
5,000 | | Excess net capital | \$
9,106 | | Percentage of aggregate indebtedness to net capital | 134.29% | There are no material differences between the computation of net capital presented above and the computation of net capital in the Company's unaudited Form X-17A-5, Part II-A filing as of June 30, 2025. {15}------------------------------------------------ ### **Supplemental Information Schedule II and III** ### **For the Year Ended June 30, 2025** #### **Computation for Determination of the Reserve Requirement Under Rule 15C3‐3 of the SEC (Exemption):** YR Securities, LLC is a limited broker dealer, exclusively dealing in the purchase, sale and redemption of mutual funds, variable annuities, and variable insurance products and is exempt from SEC Rule 15c3‐3. All funds received in connection with the activity of the Firm are promptly transmitted and are not held in the custody of the Firm. ## **Information Related to the Possession or Control Requirements Under Rule 15c3‐3 of the SEC (Exemption):** YR Securities, LLC is a limited broker dealer, exclusively dealing in the purchase, sale, and redemption of mutual funds, variable annuities, and variable insurance products and is exempt from SEC Rule 15c3‐3. All funds received in connection with the activity of the firm are promptly transmitted and are not held in the custody of the Firm. {16}------------------------------------------------ ![](_page_16_Picture_0.jpeg) #### **Report of Independent Registered Public Accounting Firm** To the Members of YR Securities, LLC We have reviewed management's statements, included in the accompanying Rule 15c3-3 Exemption Report pursuant to SEC Rule 17a-5, in which (1) YR Securities, LLC (the Firm) did not claim an exemption under paragraph (k) of 17 C.F.R. §240.15c3-3, and (2) the Firm is filing this Exemption Report relying on Footnote 74 of the SEC Release No. 34-70073 adopting amendments to 17 C.F.R. § 240.17a-5 because the Firm limits its business activities exclusively to application way business with various mutual funds and insurance companies. In addition, the Firm did not directly or indirectly receive, hold, or otherwise owe funds or securities for or to customers, other than money or other consideration received and promptly transmitted in compliance with paragraph (a) or (b)(2) of Rule 15c2-4 and/or funds received and promptly transmitted for effecting transactions via subscriptions on a subscription way basis where the funds are payable to the issuer or its agent and not to the Firm; did not carry accounts of or for customers; and did not carry PAB accounts (as defined in Rule 15c3-3) throughout the most recent fiscal year without exception. The Firm's management is responsible for compliance with the provisions contemplated by Footnote 74 of SEC Release No. 34-70073 adopting amendments to 17 C.F.R. § 240.17a-5 and related SEC Staff Frequently Asked Questions and its statements. Our review was conducted in accordance with the standards of the Public Company Accounting Oversight Board (United States) and, accordingly, included inquiries and other required procedures to obtain evidence about the Firm's compliance with the exemption provisions. 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 upon the Firm's business activities contemplated by Footnote 74 of the SEC Release No. 34-70073 adopting amendments to 17 C.F.R. § 240.17a-5, and related SEC Staff Frequently Asked Questions. Henrico, Virginia August 21, 2025 {17}------------------------------------------------ ## **YR Securities, LLC's Exemption Report** YR Securities, LLC (the Firm) is a registered broker-dealer subject to Rule 17a-5 promulgated by the Securities and Exchange Commission (17 C.F.R. § 240.17a-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 Firm states the following: 1) The Firm does not claim an exemption under paragraph (k) of 17 C.F.R. § 240.15c3-3, and 2) The Firm is filing this Exemption Report relying on Footnote 74 of the SEC Release No. 34-70073 adopting amendments to 17 C.F.R. § 240.17a-5 because the Firm limits its business activities exclusively to application way business with various mutual funds and insurance companies. In addition, the Firm did not directly or indirectly receive, hold, or otherwise owe funds or securities for or to customers, other than money or other consideration received and promptly transmitted in compliance with paragraph (a) or (b)(2) of Rule 15c2-4 and/or funds received and promptly transmitted for effecting transactions via subscriptions on a subscription way basis where the funds are payable to the issuer or its agent and not to the Firm; did not carry accounts of or for customers; and did not carry PAB accounts (as defined in Rule 15c3-3) throughout the most recent fiscal year without exception. YR Securities, LLC I, William T. Roach, swear or affirm that, to my best knowledge and belief, this Exemption Report is true and correct. By: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Title: Principal August 21, 2025 Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.