Full text of EXCELSIOR EQUITIES, LLC's X-17A-5 filed 2025-12-01 (period 2025-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # ANNUAL REPORTS FORM X-17A-5 PART III SEC FILE NUMBER 8-70533 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 | 10/01/2024 | AND ENDING 09/30/2025 | | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|-----------------|--------------------------------------------| | | MM/DD/YY | | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: Excelsior Equities LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Broker-dealer<br>_ Security-based swap dealer<br>□ 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.) | | | | | | 6795 East Tennessee Street, Suite 210 | | | | | | | (No. and Street) | | | | | Denver | | CO | | 80224 | | (City) | (State) | | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Olga Rip | 804-564-1588 | | | olga.rip@oysterllc.com | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | Spicer Jeffries LLP | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 4601 DTC Boulevard, Suite 700 Denver | | | Co | 80237 | | (Address) | (City) | | (State) | (Zip Code) | | 10/20/2003 | | 349 | | | | (Date of Registration with PCAOB)(if applicable) | | | | (PCAOB Registration Number, if applicable) | | | FOR OFFICIAL USE ONLY | | | | | * Claims for exemption from the requirement that the annual reports of an independent public<br>accountant must he cunnortad by a statement of facts and since with | | | | | y 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 d…Read the full text as markdown