# CERES SECURITIES, LLC X-17A-5 (2026-02-19) — Broker-dealer annual report - Company: CERES SECURITIES, LLC - Form: X-17A-5 - Filed: 2026-02-19 - Period: 2025-12-31 - Accession: 0001645711-26-000001 - CIK: 1645711 - File #: 8-69637 - Type: Broker-dealer - Material weakness: No - Auditor: Stickley, Larry A. - Auditor location: Granger, IN - Contact: Tamara Schooley - Phone: 574-367-4533 - Email: tschooley@ceres-securities.com - Website: ceres-securities.com - Signed by: Tamara Schooley (CCO) Original filing: https://www.sec.gov/Archives/edgar/data/1645711/000164571126000001/CS2025AnnualAuditedReport.pdf --- {0}------------------------------------------------ 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 NUMBER | | | |---------|--|-----------------|--|--| | 8-69637 | | | | | **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 1/1/2025 MM/DD/YY AND ENDING 12/31/2025 MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME or nm. Ceres 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 D Major security-based **swap** participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 806 Howard Street, Suite 200 | | (No. and Street) | | | | |----------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------|---------------------------------------------------|--------------------------------------------|--| | South Bend | IN | | 46617 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Tamara Schooley | (574) 367-4533 | tschooley@ceres-securities.com
(Email Address) | | | | (Name) | (Area Code - Telephone Number) | | | | | | | | | | | | B. ACCOUNTANT IDENTIFICATION
INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing | | | | | Stickley, Larry A. | (Name - if individual, state last, first, and middle name) | | | | | | | | | | | 17385 Turnbury Ct.
(Address) | Granger
(Cty) | IN
(State) | 46530
(Zip Code) | | | | | | | | | (see exemption report)
(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)(i), 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 0MB control number. {1}------------------------------------------------ #### OATH OR AFFIRMATION | I, Tamara L. Schooley | swear (or affirm) that, to the best of my knowledge and belief, the | |-------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------| | financial report pertaining to the firm of Ceres Securities, LLC. | as of | | December 31st | 20° ,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.** **Chief Compliance Officer** #### This **filing .. contains (check all applicable boxes):** - E (a) Statement of financial condition. - 0 (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 5 210.1-02 of Regulation **S-X).** - [ (d) Statement of cash flows. - [ (e) Statement of changes in stockholders' or partners' or sole proprietor's equity. - ( Statement of changes in liabilities subordinated to claims of creditors. - [ (g) Notes to consolidated financial statements. - El (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. - 0 (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. - [E (1) Computation for Determination of PAB Requirements under Exhibit A to 5 240.15c3-3. - (m) Information relating to possession or control requirements for customers under 17 CR 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) 0r 17 CFR 240.18a-4, as applicable. - [E (o) Reconciliations, including appropriate explanations, of the FOCUS Report with computation of net capital or tangible net worth under 17 CFR 240.1503-1, 17 CFR 240.18a-1, or 17 CFR 240.18a-2, as applicable, and the reserve requirements under 17 CFR 240.15c3-3 0r 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. - E (q) Oath or affirmation in accordance with 17 CR 240.17a-5, 17 CFR 240.17a-12, 0r 17 CFR 240.18a-7, as applicable. - 0 (r) Compliance report in accordance with 17CR 240.17a-5 or 17 CFR 240.18a3-7, as applicable. - [E (s) Exemption report in accordance with 17 CFR 240.17a-5 0or 17 CFR 240.18a-7, as applicable. - !.J (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 240.173-5, 17 CFR 240.18a-7, or 17 CFR 240.17a-12, as applicable. - **D (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 CR 240.18a-7, as applicable. - [ (w)independent public accountant's report based on a review of the exemption report under 17 CFR 240.17a-S or 17 CFR 240.18a-7, as applicable. - D (x) Supplemental reports on applying agreed-upon procedures, in accordance with 17 CFR 240.15c3-1e or 17 CFR 240.17a-12, as applicable. - 6) 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). - D (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}------------------------------------------------ # **Ceres Securities LLC** Financial Statements as of and for the Year Ended December 31, 2025 {3}------------------------------------------------ # **Ceres Securities LLC Statement of Financial Condition December 31, 2025** | ASSETS | | |----------------------------|---------------| | Cash and cash equivalents | \$1,596,486 | | Receivable from affiliates | 128,397 | | Deferred tax asset | 65,695 | | Total Assets | \$ 1,790,578 | | LIABlLITlES & EQUITY | | | Liabilities | | | Accrued commissions | \$
693,385 | | Accrued bonus | 290,000 | | Total Liabilities | 983,385 | | Member's Equity | 807,193 | | Total Liabilities & Equity | \$ 1,790,578 | {4}------------------------------------------------ # **Ceres Securities LLC Statement of Operations Year Ended December 31, 2025** | Operating Revenues: | | | |-----------------------------------------|---|---------------| | Sales income | s | 1,643,507 | | Miscellaneous income | | 1,252 | | Total income | | 1,644,759 | | Operating Expenses | | | | Compensation and benefits | | 2,868,018 | | Occupancy, communications and equipment | | 150,559 | | Other | | 30,665 | | Total operating expenses | | 3,049,242 | | Operating loss: | | (1,404,483) | | Other Income | | | | Interest income | | 8,089 | | Loss before income taxes: | | (1,396,394) | | Income tax benefit: | | (155,897) | | Net loss | | s 1,210, 497) | {5}------------------------------------------------ # **Ceres Securities LLC Statement of Cash Flows Year Ended December 31, 2025** | Cash flows from operating activities:
Net loss | \$ (1,240,497) | |----------------------------------------------------------------------------|----------------| | Adjustments to reconcile net loss to net cash used in operating activities | | | Deferred income taxes | (65,695) | | Stock-based compensation | 103,064 | | Changes in operating assets and liabilities | | | Receivables from affiliates | 326,189 | | Accrued bonus | 290,000 | | Accrued commissions | 252,253 | | Other liabilities | (85,468) | | Net cash used in operating activities | (420,154) | | Cash flow from financing activities: | | | Capital contributions | 1,817,998 | | Net cash provided by financing activities | 1,817,998 | | Net inerease in cash and cash equivalents | 1,397,844 | | Cash at beginning of year | 198,642 | | Cash and equivalents at end of year | \$ 1,596,486 | | | \$ | {6}------------------------------------------------ # **Ceres Securities LLC Statement of Changes in Equity For the Period Ended December 31, 2025** | | Member's
Contributed
Equity | | | Accumulated
deficit | | Total | | |------------------------------|-----------------------------------|-----------|----|------------------------|--|-------------|--| | Balance at January 1, 2025 | \$ | 6,149,740 | \$ | (6,023,112) \$ | | 126,628 | | | Net loss | | | | (1,240,497) | | (1,240,497) | | | Capital contributions | | 1,817,998 | | | | 1,817,998 | | | Stock-based compensation | | 103,064 | | | | 103,064 | | | Balance at December 31, 2025 | \$ | 8,070,802 | \$ | (7,263,609) \$ | | 807,193 | | {7}------------------------------------------------ # **Ceres Securities LLC Statement of Changes in Liabilities Subordinated to Claims of General Creditors For the Period Ended December 31, 2025** | Balance at January I, 2025 | 526,600 | |----------------------------|----------| | Additions | 542,253 | | Deductions | (85,468) | Balance at December 31, 2025 983,385 {8}------------------------------------------------ # Ceres Securities LLC Computation of Net Capital Computation for Determination of Reserve Requirements Reconcilement of Computation of NC and Determination of RR For the Period Ended December 31, 2025 #### Computation of Net Capital | Total Assets | | \$ 1,790,578 | | |----------------------------------------------------------|----|--------------|--| | Less Illiquid Assets | \$ | | | | Less NonAllowable Assets | \$ | (194,092) | | | Total Liabilities | \$ | (983,385) | | | Net Capital | \$ | 613,101 | | | Computation for Determination of
Reserve Requirements | | | | | Minimum net capital required | \$ | 65,559 | | | Limited Broker (Agent) | \$ | 5,000 | | | Net Capital Requirement for
Ceres Securities LLC | s | 65,559 | | | Reconcilement of Computation of Net
Capital | | | | | Calculated Net Capital | \$ | 613,101 | | | Less Net Capital Requirement for
Ceres Securities | \$ | 65,559 | | | Excess Net Capital for
Ceres Securities LLC | \$ | 547,542 | | #### Footnotes: **No material differences exists between the financial statement computations of Net Capital and the computations included in the** companies cooresponding form X-17A-5 PART IIA fling as of December 31st, 2025. {9}------------------------------------------------ # Ceres Securities, LLC Notes to Statement of Financial Condition For the Period Ended December 31, 2025 ### General and Summary of Significant Account Policies #### Description of Business Ceres Securities LLC (the "Fir") is a Limited Liability Company formed on May 20, 2015 with the Secretary of State in Delaware. The firm is wholly owned subsidiary of Ceres Partners LLC, the sole member. On October I, 2025, Ceres Partners, LLC and the Firm were acquired by Wisdom Tree Fannland Holdings, LLC, a wholly-owned subsidiary of WisdomTree, Inc. Ceres Partners makes capital contributions to the firm, and in addition. has an expense sharing agreement to cover operating expenses such as rent and utilities. The Office of Supervisory Jurisdiction is located at 806 Howard Street, Ste 200 in South Bend, Indiana. The firm is a registered broker dealer with the Securities Exchange Commission (SEC) and a member ofFINRA. Tamara Schooley serves as the Firm's President, Managing Director, General Securities Principal, Chief Compliance Officer, and FinOP. Barbara Keady supervises the Hingham. MA & Chicago, IL locations. The Firm serves as a Placement Agent to the single issuer fund, Ceres Farms, LLC. Ceres Securities and the fund only engage with **sophisticated and accredited investors.** #### **Basis of Presentation** The statement of financial condition is prepared in accordance with accounting principals generally accepted in the United States of **America.** Cash and Cash Equivalents The Firm holds multiple deposit accounts that are immediately liquid. #### Receivables from Affiliates Receivables from affiliates at December 31, 2025 includes the following: | Receivable from WisdomTree, Inc. | \$ 90,202 | |-------------------------------------|-----------| | Receivable from Ceres Partners, LLC | 38,195 | | | \$128.397 | The receivable from WisdomTree, Inc. represents the unsettled allocation ofa current income tax based upon the Firm's relative contribution to WisdomTree Inc.'s consolidated income tax position. The receivable from Ceres Partners LLC represents unsettled expenses allocated to the Firm pursuant to an expense sharing **agreement.** # Stock-Based Compensation WisdomTree Inc. grants equity awards to the Firm's employees which are in the form of restricted stock units that generally vest ratably, on an annual basis, over three years. Accounting for stock-based compensation requires the measurement and recognition of compensation expense for all equity awards based on estimated fair values. Stock-based compensation is measured based on the grant-date fair value of the award (determined using the stock price ofWisdomTree, Inc.) and is amortized over the relevant service period. Forfeitures are recognized when they **occur.** During the year ended December 31, 2025, total stock-based compensation expense was \$103,064 which was recorded in compensation expense with a corresponding increase to Member's Contributed Equity. {10}------------------------------------------------ #### **Income Taxes** Prior to October, 1, 2025, the Finn as a single-member LLC elected to be treated as a disregarded entity for income tax. Income or loss attributed to the Finn is passed through the sole member in accordance with FASB topic 740. Effective October I, 2025, the Finn became a member ofWisdomTree, Inc. 's consolidated group that files a consolidated income tax return. Current and deferred taxes are allocated to the Finn based upon its relative contribution to the group's current and deferred income taxes. Allocated current and deferred income taxes are settled periodically with WisdomTree, Inc. and amounts receivable and payable are recorded in Receivable from or Payable to Affiliates on the Statement of Financial Condition. During the year ended December 31, 2025, the current and deferred income tax benefit recognized by the Finn was \$90,202 and \$65,695, respectively. #### Regulatory Requirements During the reporting period, Ceres Securities limited its business activities to soliciting subscriptions for investments in Ceres Farms, a private fund. Over this period the Firm (I) did not directly or indirectly receive, hold, or otherwise owe funds or securities for or to customers, other than money orother consideration received and promptly transmitted in compliance with paragraph (a) or (b)(2) of Rule 15c2-4; (2) did not carry accounts of or for customers; and (3) did not carry PAB accounts (as defined in Rule 15c3-3). The Finn is exempt from the requirement that this annual report be covered by the opinion of an independent public accountant based on the following facts: (1) the Firm's business is limited to acting as a broker (agent) for a single issuer, Ceres Farms, in soliciting subscriptions for securities of the issuer; (2) the Finn does not receive or hold customer funds or securities because all funds and securities were transmitted directly between investors and the issuer; accordingly the Firm ensures that all funds are promptly transmitted to the issuer and all securities are promptly delivered to the subscribers in connection with any transaction; and (3) the Firm does not otherwise hold funds or securities for or owe money or securities to customers. (Rule 17a-5(e)(1()(A).) No material difference exists between the financial statement computations of Net Capital and the computations included in the Firm's corresponding form X-17A-5 PART IIa filing as of December 31, 2025. #### **Subsequent Events** Management has reviewed subsequent events and found that there are no material subsequent events that would require recognition or disclosure in the notes to the financial condition. {11}------------------------------------------------ # Duly Authorized Officer Affirmation Pursuant to Rule I 7a-5 under the Securities Exchange Act of 1934 December 31, 2025 Ceres Securities, LLC (the "Company") is a registered broker-dealer subject to Rule I 7a-5 promulgated by the Securities and Exchange Commission 17 C.F.R. § 240. I 7a-5, "Reports to be made by certain brokers and dealers". This Duly Authorized Officer Affirmation was prepared as required by under 17 C.F.R. § 240. I 7a-5(e)( I) and (2). To the best of its knowledge and belief, the Company states the following: The financial report is true and correct. Neither the broker or dealer, nor any partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classified solely as **customer.** Dated February 20, 2026 Name: Tamara L Schooley Title: President CFO/CCO {12}------------------------------------------------ # **Ceres Securities, LLC** ### **Exemption Report** ### **Pursuant to Rule 17a-5 under the Securities Exchange Act of 1934** ### **December 31, 2025** Ceres Securities, LLC (the "Company") is a registered broker-dealer subject to Rule I 7a-5 promulgated by the Securities and Exchange Commission ( 17 C.F.R. §240. I 7a-5, "Reports to be made by certain brokers and dealers"). Pursuant to recent SEC staff guidance, Ceres Securities is exempt from Rule I5c3-3 as a "Non-Covered Firm" which meets the standards of footnote 74 to SEC Release 34-70073 (2013), rather than the exemption of Rule I 5c3- 3(k)(2()(i) on which it previously relied. See Frequently Asked Questions Concerning the July 30, 2013 Amendments to the Broker-Dealer Financial Reporting Rule (Updated July I, 2020) Questions 8 and 8 . 1 . Ceres Securities' business does comply with Footnote 74 criteria. The firm represents that during the reporting period **it;** I) Maintained a minimum net capital of \$5,000 pursuant to SEC Rule I 5c3-I (a)(2)(vi). 2) Did not hold customer funds or safekeep customer securities. 3) Engaged as a broker or dealer selling securities of only one issuer. 4) Engaged with only private placements of securities. 5) Engaged as a broker or dealer selling interests in unregistered private investment funds. During the reporting period, Ceres Securities limited its business activities to soliciting subscriptions for investments in Ceres Farms, a private fund. Over this period 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 I 5c2-4; (2) did not carry accounts of or for customers; and (3) did not carry PAB accounts (as defined in Rule I 5c3-3). The Firm is also exempt from the requirement that this annual report be covered by the opinion ofan independent public accountant based on the following facts: ( !) the Firm's business is limited to acting as a broker (agent) for a single issuer, Ceres Farms, in soliciting subscriptions for securities of the issuer; (2) the Firm does not receive or hold customer funds or securities because all funds and securities were transmitted directly between investors and the issuer; accordingly the Firm ensures that all funds are promptly transmitted to the issuer and all securities are promptly delivered to the subscribers in connection with any transaction; and (3) the Firm does not otherwise held funds or securities for or owe money or securities to customers. (Rule I 7a-5(e)(l)(i)(A).) I, Tamara Schooley certify that, To the best ofmy knowledge and belief, this Exemption Report is true and correct. Dated February 20th, 2026 Title: Pres/ CFO/ CCO {13}------------------------------------------------ ### **Ceres Securities, LLC Report for Material Inadequacies For the Period Ended December 31, 2025** CCO *I* CFO Attestation: Ceres Securities LLC has met all firm requirements for financial and reserve requirements during 2025. No material difference exists between the financial statement computations of Net Capital and the computations included in the companies corresponding form X-17a-5 PART Ila filing as of December 31°, 2025. {14}------------------------------------------------ SIPC-7A 37REV0722 #### SECURITIES INVESTOR PROTECTION CORPORATION SIPC-7A 37 REV0722 #### **AMENDED GENERALASSESSMENT FORM** For the fiscal year ended 12/31/2025 | | Detennination of "SIPC NET Operating Revenues" and General Assessment for: | | |---|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------| | | MEMBER NAME
SEC No.
CERES SECURITIES LLC
8-69637 | | | | For the fiscal period beginning
1/1/2025
and ending
12/31/2025 | | | | | | | 1 | Total Revenue (FOCUS Report- Statement of Income (Loss) -- Code 4030) | \$ 1,652,848.00 | | 2 | Additions:
a Total revenues from the securities business of subsidiaries (except foreign | | | | subsidiaries) and predecessors not included above. | | | | b Net loss from principal transactions in securities in trading accounts. | | | | c Net loss from principal transactions in commodities in trading accounts.
d Interest and dividend expense deducted in determining Item 1. | | | | e Net loss from management of or participation in the underwriting or | | | | distribution of securities. | | | | f Expenses other than advertising, printing, registration fees and legal fees | | | | deducted in detennining net profit management of or participation in | | | | underwriting or distribution of securities.
g Net loss from securities in investment accounts. | | | | h Add lines 2a through 2g. This is your total additions. | \$0.00 | | 3 | Add lines 1 and 2h | \$ 1,652,848.00 | | 4 | Deductions: | | | | a Revenues from the distribution of shares of a registered open end investment
company or unit investment trust, from the sale of variable annuities, from the
business of insurance, from Investment advisory services rendered to
registered investment companies or Insurance company separate accounts
and from transactions in security futures products. | | | | b Revenues from commodity transactions. | | | | c Commissions, floor brokerage and clearance paid to other SIPC members | | | | in connection with securities transactions.
d Reimbursements for postage in connection with proxy solicitations. | | | | e Net gain from securities in investment accounts. | | | | f 100% commissions and markups earned from transactions in (I) certificates
of deposit and (ii) Treasury bills, bankers acceptances or commercial paper | | | | that mature nine months or less from issuance date.
g Direct expenses of printing, advertising, and legal fees incurred in connection | | | | with other revenue related to the securities business (revenue defined by
Section 16(9)(L) of the Act). | | | | h Other revenue not related either directly or indirectly to the securities business. | | | | Deductions in excess of \$100,000 require documentation | | | 5 | a Total interest and dividend expense (FOCUS Report - Statement
of Income (Loss) - Code 4075 plus line 2d above) but | | | | \$0.00
not in excess of total interest and dividend income | | | | b 40% of margin interest earned on customers securities accounts | | | | (40% of FOCUS Report - Statement of Income (Loss) ­ | | | | \$0.00
Code 3960) | | | | \$0.00
c Enter the greater of line 5a or Sb | | | 6 | Add lines 4a through 4h and 5c. This is your total deductions. | \$0.00 | | 7 | Subtract line 6 from line 3. This is your SIPC Net Operating Revenues. | \$ 1,652,848.00 | {15}------------------------------------------------ SIPC-7TA 37 REV0722 #### SECURITIES INVESTOR PROTECTION CORPORATION SIPC-7A 37 REV0722 #### **AMENDED GENERAL ASSESSMENT FORM** For the fiscal year ended 12/31/2025 | 8 | Multiply line 7 by .0015. This is your General Assessment | | | | | | |--------------------------------|--------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------|--------------|-------------|--| | 9 | | Current overpayment/credit balance, if any | | | \$0.00 | | | 10 | | General assessment from last filed _205 SIPC-7 or 7A | | \$1,049.00 | | | | 11 | c Any other overpayments applied
f Add lines 11 a through 11e | a Overpayment(s) applied on al 2025 SIPC-6 and 6A(s)
b Overpayment(s) applied on all 2025 SIPC-7 and 7A(s)
d All payments applied for 2025 SIPC-6 and BA(s)
e AI payments applied for _@0?5 SIPC-7 and 7A(s) | \$0.00
\$0.00
\$0.00
\$ 1,026.00
\$0.00 | \$1,026.00 | | | | 12 | LESSER ofline 10 or 11f. | | | | \$1,026.00 | | | | 13 a Amount from line 8
b Amount from line 9
c Amount from line 12 | | \$2,479.00
\$0.00
\$ 1,026.00 | | | | | | | d Subtract lines 13b and 13c from 13a. This is your assessment balance due. | | | \$ 1,453.00 | | | 14 | Interest (see instructions) for | days late at 20% per annum
O | | | \$0.00 | | | 15 | | [Amount you_owe SIPc_Add lines 13and14 | | | s@@sod | | | 16 | \$0.00
Overpayment/credit carried forward (if applicable) | | | | | | | | SEC No.
8-69637 | Designated Examining Authority
DEA: FINRA | FYE
2025 | Month
Dec | | | | MEMBER NAME
MAILING ADDRESS | | CERES SECURITIES LLC
806 HOWARD ST STE 200
SOUTH BEND, IN 46617 | | | | | Subsidiaries (S) and predecessors (P) included in the fonn (give name and SEC number) Ill By checking this box, you certify that you have the authority of the SIPC member to sign this fonn; that all infonnation in this fonn is true and complete; and that on behalf of the SIPC member, you are authorized, and do hereby consent, to the storage and handling by SIPC of the data in accordance with SIPC's Privacy Policy | CERES SECURITIES LLC | TAMARA LYNDSEY SCHOOLEY | | |-----------------------|--------------------------------|--| | (Name of SIPC Member) | (Authorized Signatory) | | | 2/3/2026 | tschooley@ceres-securities.com | | | (Date) | (e-mail address) | | Completion of the "Authorized Signatory" line **will** be deemed a signature. *This form and the* **assessment** *payment are due 60 days after the end of the fiscal year.* {16}------------------------------------------------ ![](_page_16_Picture_0.jpeg) #### Thank you for your payments **I, as agent for the SIPC Member furn and for which I have signatory authority, authorize SIPC electronically to debit the account ending in 5503, in the amount of \$1,453.00 on or the next business day after 02/04/2026. I understand that because this is an electronic transaction, these funds may be** withdrawn from the account as soon as today. This authorization will remain in full force and effect until I notify SIPC by telephone at (202) 371-8300 AND by email at ACH@SIPC.org before 4:00 p.m. ET on today's date to withdraw authorization. ### Reference# B26035102993468 | Payment Date | SEC Registration No. | | | |--------------------------------|--------------------------------|--|--| | 02/04/2026 | 8-69637 | | | | | | | | | Member Name | Email Receipt to | | | | CERES SECURITIES LLC | tschooley@ceres-securities.com | | | | | | | | | Payment Type | Device Type | | | | Direct Payment | Web | | | | | | | | | Additional Comments | Rooting Number | | | | | «+#1578 | | | | | | | | | Bank | | | | | FIRST FARMERS BANK & TRUST CO. | | | | | Name on Account | Payment Method | |----------------------|------------------------| | CERES SECURITIES LLC | Business checking 5503 | | Status | Total Payment Amount | | Pending | \$1,453.00 | Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.