Full text of UPMARKET SECURITIES LLC's X-17A-5 filed 2026-03-31 (period 2025-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES | | | 0MB APPROVAL | | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|------------------------------------|-----------------|------------------------------------------------|--|--| | | | SECURITIES AND EXCHANGE COMMISSION | | 0MB Number: 3235-0123<br>Expires: Nov 30, 2026 | | | | | Washington, D.C. 20549 | | | Estimated average burden | | | | | | | | hours per response: 12 | | | | | ANNUAL REPORTS | | | SEC FILE NUMBER | | | | | FORM X-17 A-5 | | | 8-70120 | | | | | PART Ill | | | | | | | | | | | | | | | | FACING PAGE | | | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and lSa-7 under the Securities Exchange Act of 1934 | | | | | | | | | _________<br>1/1/2025 | | | ________<br>12/31 /2025 | | | | FILING FOR THE PERIOD BEGINNING | MM/DD/VY | AND ENDING | | _<br>MM/DD/VY | | | | | | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF FIRM : Upmarket Securities, LLC | | | | | | | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | | | ii Broker-dealer | D Security-based swap dealer | | | D Major security-based swap participant | | | | D Check here if respondent is also an OTC derivatives dealer | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | 1525 McCarthy Boulevard, #1000 | | | | | | | | | (No . and Street) | | | | | | | Milpitas | CA | | | 95035 | | | | | | | | | | | | (City) | (State) | | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Robert Daniels | (516) 281-4242 | | | robert. daniels@u pm ark et. com | | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | BDG-CPA's | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | 76 N. Walnut St | Ridgewood | | NJ | 07450 | | | | (Address) | (City) | | (State) | (Zip Code) | | | | 2/18/2004 | | 1167 | | | | | | | | | | | | | | T'• of<br>Regimafioo w•h PCAOB)lif applicable) | FOR OFFICIAL USE ONLY | | | (PCAOB ReglSUafioo Norn bee, If applicable) | | | | | | | | | | | | | | | | | | | | • Claims for exemption from the requir…Read the full text as markdown