# OPTIMX SECURITIES LLC X-17A-5 (2026-03-24) — Broker-dealer annual report - Company: OPTIMX SECURITIES LLC - Form: X-17A-5 - Filed: 2026-03-24 - Period: 2025-12-31 - Accession: 0001721271-26-000001 - CIK: 1721271 - File #: 8-70041 - Type: Broker-dealer - Material weakness: No - Auditor: Cropper Accountancy Corporation - Auditor location: Walnut Creek, CA - Contact: David Barnett - Phone: 917-608-8969 - Email: dbamett@optimx.com - Website: optimx.com - Signed by: David Barnett (Chief Executive Officer) Original filing: https://www.sec.gov/Archives/edgar/data/1721271/000172127126000001/2025auditoptimx-.pdf --- {0}------------------------------------------------ | | UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549 | OMB APPROVAL
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12 | | | ANNUAL
REPORTS | SEC FILE NUMBER | | | FORM
X-17A-5 | 8-70041 | | | III
PART | | | | 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 | 01/01/2025
AND END NG | 12/31/2025 | | | MM/DD/YY | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | firm:OptimX
of
name | Sscurities
LLC | | | TYPE OF REGISTRANT (check all applicable boxes):
B
Broker-dealer
Check here if respondent is also an OTC derivatives dealer | Major
Security-based swap dealer | security-based swap
participant | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not | use a P.O. box no.) | | | 101
Franklin
Street, | Suite
4 | | | | (No. and Street) | | | Westport | CT | 06880 | | (City) | (State) | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | David
Barnett | 917-608-8969 | dbamett@optimx.com | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports | are contained
in
this | filing* | | Cropper
Accountancy | Corporation | | | | (Name -if
individual, state last, first, and middle name) | | | 2700
Ygnacio
Valley
Rd., | Walnut
Creek
Suite
270 | CA
94598 | | (Address)
03/04/2009 | (City) | (State)
(Zip Code)
3381 | | (Date of Registration with PCAOB)(if applicable) | | (PCAOB Registration Number, if applicable) | | | FOR OFFICIAL USE ONLY | | | accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 | * Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public | | 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. {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | David Barnett
I, | ,
to
swear (or affirm) that,
the best of my
knowledge and belief, the | |-----------------------------------------------|------------------------------------------------------------------------------------------------------------| | pertaining to
financial report
the firm | ,
of OptimX Securities LLC
as of | | 12/31
,
2025 | ,is
true
and correct. I
swear (or affirm) that
neither the
further
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. | | **x DocuSigned by: > A027r8FD0F24469...** Title: Cheif Executive Officer #### **This filing\*\* contains (check all applicable boxes):** - H (a) Statement of financial condition. - H (b) Notes to consolidated statement of financial condition. - a (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). - H (d) Statement of cash flows. - H (e) Statement of changes in stockholders' or partners' or sole proprietor's equity. - (f) Statement of changes in liabilities subordinated to claims of creditors. - H (g) Notes to consolidated financial statements. - H (h) Computation of net capital under 17 CFR 240.15c3-l or 17 CFR 240.18a-l, as applicable. - (i) Computation of tangible net worth under 17 CFR 240.18a-2. - H (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. - H (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. - H (o) Reconciliations, including appropriate explanations, of the FOCUS Report with computation of net capital or tangible net worth under 17 CFR 240.15c3-l, 17 CFR 240.18a-l, 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. - H (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. - H (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. - 8 (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. - B (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-le 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}------------------------------------------------ **OPTIMX SECURITIES LLC FINANCIAL STATEMENTS** **DECEMBER 31, 2025** {3}------------------------------------------------ # CONTENTS | of
Independent
Report
Registered Public
Accounting
Firm | 1-2 | |------------------------------------------------------------------------|-------------| | Statement
of
Financial Condition | 3 | | Statement
of
Operations | 4 | | Statement
of
Changes in
Member's
Equity | 5 | | of
Statement
Cash Flows | 6 | | Notes to
Financial Statements | -
7
9 | | Schedule 1 | 10 | | Schedule II | 11 | | of
Independent
Report
Registered Public Accounting
Firm | 12 | | Exemption
Report | 13 | | | | #### Page {4}------------------------------------------------ ![](_page_4_Picture_0.jpeg) # REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Member of OptimX Securities LLC #### **Opinion on the Financial Statements** We have audited the accompanying statement of financial condition of OptimX Securities LLC as of December 31, 2025, the related statements of operations, changes in member's equity, and cash flows for the year then ended, and the related notes and schedules (collectively referred to as the "financial statements"). In our opinion, the financial statements present fairly, in all material respects, the financial position of OptimX Securities LLC as of December 31, 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 OptimX Securities LLC's management. Our responsibility is to express an opinion on OptimX 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 OptimX 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. #### **Auditor's Report on Supplemental Information** The Schedule I Computation of Net Capital and Schedule II Statement Regarding Reserve Requirements and Possession or Control Requirements have been subjected to audit procedures performed in conjunction with the audit of OptimX Securities LLC's financial statements. The supplemental information is the responsibility of OptimX 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, Schedule I and Schedule II are fairly stated, in all material respects, in relation to the financial statements as a whole. CROPPER ACCOUNTANCY CORPORATION We have served as OptimX Securities LLC's auditor since 2025. Walnut Creek, California March 18, 2026 {5}------------------------------------------------ | ASSETS | | |--------|--| | | | | CURRENT ASSETS
Cash
Accounts receivable
Prepaid expenses | \$
81,647
882
10,585 | |-------------------------------------------------------------------|-------------------------------| | TOTAL ASSETS | \$
93,114 | | AhD
LIABILITIES
MEMBER S EQUITY | | | LIABILITIES
Accounts payable
Accrued liabilities | \$
6,553
36 | | TOTAL LIABILITIES | \$
6,589 | | MEMBER'S EQUITY | 86,525 | | TOTAL LIABILITIES AND MEMBER'S EQUITY | \$
93,114 | {6}------------------------------------------------ | REVENUES | | |--------------------------------------|----------------| | Transactional
revenue | \$
882 | | Interest
income | 14 | | TOTAL REVENUES | 896 | | EXPENSES | | | Legal and
professional | 43,760 | | Reglatory
fees
and
expenses | 15,042 | | Office /
Other expenses | 10,796 | | TOTAL EXPENSES | 69,598 | | | | | NET LOSS | \$
(68,702) | {7}------------------------------------------------ | Balance, December 31,
2024 | \$
40,227 | |---------------------------------|--------------| | Net loss | (68,702) | | from
Contributions
member | 115,000 | | Balance, December 31,
2025 | \$
86,525 | {8}------------------------------------------------ ### **OPTIMX SECURITIES LLC STATEMENT OF CASH FLOWS FOR THE YEAR EIOED DECEMBER 31, 2025** | CASH FLOWS FROM OPERATING ACTIVITIES
Net loss
to
net
loss to
net
Adjustments
reconcile
cash
used in
operations:
Changes in
operating
liabilities
assets and | \$
(68,702) | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------| | Accounts receivable | (882) | | Prepaid fees | (7,347) | | Net cash used in
Operating
Activities | (87,355) | | CASH FLOWS FROM FINANCING ACTIVITIES | | | Contributions | 115,000 | | Distributions | - | | Net cash provided
by
financing
activities | 115,000 | | for
the
period
Net Cash
increase | 27,645 | | Cash at
beginning of
period | 54,002 | | Cash at
of
end
year | \$
81,647 | #### **Supplemental Disclosures of Cash Flow Information:** There was no cash paid during the year for interest or income taxes. {9}------------------------------------------------ #### **OPTIMX SECURITIES LLC NOTES TO FINANCIAL STATEMENTS DECEMBER 31, 2025** #### NOTE A **Nature of Business and Summary of Significant Accounting Policies** Nature of Business - SurfTrade, LLC (Company), a Nevada limited liability company, was formed in December 2016. The Company was owned by SurfTrade International Corporation. On November 7, 2025 , SurfTrade International Corporation was purchased by OptimX Markets Inc. and the Company changed its name to OptimX Securities LLC. The Company was approved on March 3, 2020 as a broker/dealer with the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) and is a member of the Securities Investor Protection Corporation (SIPC). The Company is considered a non-covered firm relying on Footnote 74 of the SEC Release No. 34- 70073 adopting amendments to 17 C.F.R. § 240.17a-5 because the Company limits its business activities exclusively to: (1) providing a securities technology platform and the Company, (1) did not directly or indirectly receive, hold, or otherwise owe funds or securities for or to customers; (2) did not carry accounts of or for customers; and (3) did not carry PAB accounts (as defined in Rule 15c3-3) throughout the most recent fiscal year without exception. #### Basis of Presentation The Company's financial statements have been prepared in accordance with accounting principles generally accepted in the United States of America ("US GAAP"). #### Use of Estimates The preparation of financial statements in conformity with U.S. generally accepted accounting principles 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. #### Segment Reporting The Company operates as a single operating segment. The chief operating decision maker (CODM) evaluates the Company's financial performance and allocates resources on an entity-wide basis, and the Company does not manage its operations or allocate resources based on differences in products, services, or geographic regions. As such, the Company has determined that it has one reportable segment in accordance with ASC 280, *Segment Reporting.* #### Income Taxes The Company is a flow through entity and is treated as a disregarded entity for federal income tax purposes. The Company's taxable income or loss is included in the individual tax return of its member; therefore, federal income taxes are not payable by or provide for the Company. #### Cash Cash consists ofcash in a bank, held at one financial institution which at times may exceed federally insured limits. The Federal Deposit Insurance Corporation insures accounts up to \$250,000. {10}------------------------------------------------ #### **OPTIMX SECURITIES LLC NOTES TO FINANCIAL STATEMENTS DECEMBER 31, 2025** #### NOTE A NATURE OF BUSINESS AND SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES (CONTINUED) #### Revenue Recognition The Company recognizes revenue in accordance with Accounting Standards Codification ("ASC") Topic 606, Revenue from Contracts with Customers. This revenue recognition guidance requires that an entity recognize revenue to depict the transfer of promised goods or services to customers in an amount that reflects the consideration to which the entity expects to be entitled in exchange for those goods or services. The guidance requires an entity to follow a five-step model to (a) identify the contract(s) with a customer, (b) identify the performance obligations in the contract, (c) determine the transaction price, (d) allocate the transaction price to the performance obligations in the contract, and (e) recognize revenue when (or as) the entity satisfies a performance obligation. The Company has commenced generation of revenue and recognizes such revenue under ASC Topic 606. The Company had three customers in 2025 and accordingly customer revenue of \$882 was recognized during the year ended December 31, 2025. The Company generates revenue by facilitating securities transactions through the introduction of buyers and sellers within its proprietary network. Transactional revenue is recognized at a point in time on the trade date, as the performance obligation is satisfied upon successful notification of the executing parties. The transaction prices is determined by pre-agreed rates and is finalized monthly following customer validation and approval of trade activity. #### Property Plant & Equipment Property, Plant and Equipment is stated at cost and depreciated using the straight-line method over the shorter of the estimated useful life of the asset or the lease term. Assets costing more than \$5,000 with a useful life of one year or more will be capitalized else, charged to the income statement in the year of purchase. #### Note B **Contingencies** There are currently no asserted claims or legal proceedings against the Company, however, the nature of the Company's business subjects it to various claims, regulatory examinations, and other proceedings in the ordinary course of business. The ultimate outcome of any such action against the Company could have an adverse impact on the financial condition, results of operations, or cash flows of the Company. #### NOTE C **Financial Instruments and Concentration of Risk** Financial instruments subject to risk concentration is cash. The Company maintains depository cash with one banking institution. Depository accounts are insured by the Federal Depository Insurance Corporation ("FDIC") to a maximum of \$250,000 per bank, per depositor. {11}------------------------------------------------ #### **OPTIMX SECURITIES LLC NOTES TO FINANCIAL STATEMENTS DECEMBER 31, 2025** #### NOTE D **Net Capital Requirements** The Company, as a registered broker dealer is subject to the Securities and Exchange Commission Uniform Net Capital Rule (Rule 15c3-l), 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. At December 31, 2025, the Company had net capital of \$75,058, which was \$70,058 in excess of its required net capital of \$5,000 and its ratio of aggregate indebtedness to net capital was .09 to 1.0. #### NOTE E **Related Party Transactions** OptimX Markets Inc. has agreed to reimburse the Company for routine operating expenses. During 2025, OptimX Market Inc. reimbursed the Company for a total of \$6,804 of expenses. The Company had a net balance of \$2,488 recorded as Accounts Payable due to OptimX Markets Inc. at December 31, 2025. #### NOTE F **Recent Accounting Pronouncements** During the year ended December 31, 2025 and through the date of issuance, there were several new accounting pronouncements issued by the FASB. Each of these pronouncements, as applicable, has been or will be adopted by the Company. Management does not believe the adoption of any of these accounting pronouncements has had or will have a material impact on the Company's financial statements. #### NOTE G **Management Plan** The Company did have a net loss, however, the Parent does have the intent and ability to fund the Company and the intent is to have clients within the next twelve months. #### NOTE H **Subseguent Events** The Company has evaluated subsequent events through the date of the report from the Independent Registered Public Accounting Firm the financial statements were available to be issued. No subsequent events occurred which require adjustment or disclosure to the financial statements at December 31, 2025. {12}------------------------------------------------ ## **OPTIMX SECURITIES LLC COMPUTATIONOF NET CAPITAL SCHEDULEI SUPPLEMENTAL IffORMATIONPURSUANT TO RULE 17A-5 DECEMBER 31, 2025** | COMPUTATION OF NET CAPITAL | | | |---------------------------------------------------------------------------------|-----|----------------| | for
Total
member's
equity
qualified
net
capital | \$ | 86,525 | | charges
Deductions and/or | | | | Nonallowable assets: | | | | Accounts receivable | | 882 | | Prepaid expenses | | 10,585 | | Net capital | \$ | 75,058 | | | | | | AGGREGATE INDEBTEDNESS | | | | Accounts payable and
accrued
expenses | \$ | 6,589 | | COMPUTATION OF BASIC NET CAPITAL REQUIREMENTS | | | | (6
of
net
required
total
Minimum
capital
aggregate
2/3% | | | | indebtedness) | \$ | 439 | | | | | | net
requirement
Minimum
dollar
capital | \$ | 5,000 | | | | | | (greater
of
above two
Net capital
requirement
minimum | | | | requirement
amounts) | _L_ | 5,000 | | | | | | Excess net
capital | \$ | 70,058 | | | | | | indebtedness to
net
Ratio:
Aggregate
capital | | 1
.09
to | | | | | #### **Reconciliation of Computation of Net Capital** The above computation does not differ from the computation of net capital under Rule 15c3-l as of December 31, 2025 as filed by OptimX Sec LLC on Form X-17A-5. Accordingly, no reconciliation is deemed necessary. See accompanying report of independent registered public accounting firm. {13}------------------------------------------------ #### **OPTIMX SECURITIES LLC SCHEDULE II SUPPLEMENTAL INFORMATION PURSUANT TO RULE 17A-5 DECEMBER 31, 2025** # **Schedule II Statement Regarding Reserve Requirements and Possession or Control Requirements** The Company is exempt from the reserve requirements and the related computations for the determination thereof information relating to the possession or control requirement as it is considered a non-covered firm relying on Footnote 74 of the SEC Release No. 34-70073 adopting amendments to 17 C.F.R. § 240.17a-5 because the Company limits its business activities exclusively to: (1) providing a securities technology platform and the Company, (1) did not directly or indirectly receive, hold, or otherwise owe funds or securities for or to customers; (2) did not carry accounts of or for customers; and (3) did not carry PAB accounts (as defined in Rule 15c3-3) throughout the most recent fiscal year without exception. {14}------------------------------------------------ ![](_page_14_Picture_0.jpeg) # REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM # To the Member of OptimX Securities LLC We have reviewed management's statements, included in the accompanying Exemption Report, in which (1) OptimX Securities LLC (the Company) does not claim an exemption under paragraph (k) of 17 C.F.R. §240.15c3-3, and (2) The Company 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 Company limits its business activities exclusively to: (1) providing a securities technology platform and the Company, (1) did not directly or indirectly receive, hold, or otherwise owe funds or securities for or to customers; (2) did not carry accounts of or for customers; and (3) did not carry PAB accounts (as defined in Rule 15c3- 3) throughout the most recent fiscal year without exception. 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 OptimX Securities LLC's compliance with Footnote 74. 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 Company'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. CROPPER ACCOUNTANCY CORPORATION Walnut Creek, California March 18, 2026 {15}------------------------------------------------ # OptimX Securities LLC **101 Franklin Street, Suite 4, Westport, CT 06880** 310-907-6370 # **Exemption Report** OptimX Securities LLC (the "Company") 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 1 7 C.F.R. § 240.17a-5(d)( 1) and (4). To the best of its knowledge and belief, the Company states the following: (1) The Company claimed an exemption from 17 C.F.R. § 240.15c3-3 under the following provisions of 17 C.F.R. § 240.15c3-3 (k):(2)(ii). (2) The Company met the identified exemption provisions in 17 C.F.R. § 240.15c3-3(k) throughout the most recent fiscal year without exception. OptimX Securities LLC I, David Barnett, swear (or affirm) that, to my best knowledge and belief, this Exemption Report is true and correct. **x DocuSigned by:** I Paam'X-David Barnett, Chief Executive Officer January 25, 2026 Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.