Full text of REGIMENT SECURITIES, LLC.'s X-17A-5/A filed 2025-10-10 (period 2025-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **REGIMENT SECURITIES, LLC (SEC I.D. No. 8-70607)** **Report Pursuant to Rule 17a-5 of** **The Securities and Exchange Commission** *Financial Statements and Supplemental Schedules* **As of and for the Year Ended June 30, 2025** **(Including Report of Independent Registered Public Accounting Firm)** {1}------------------------------------------------ ### **REGIMENT SECURITIES, LLC Table of Contents For the Period July 1, 2024 through June 30, 2025** | REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM 1 | | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------|--|--| | FINANCIAL STATEMENTS | | | | Statement of Financial Condition 2<br>Statement of Operations 3<br>Statement of Changes in Member's Equity 4<br>Statement of Cash Flows 5 | | | | NOTES TO THE FINANCIAL STATEMENTS 6-12 | | | | SUPPLEMENTAL SCHEDULES……………………………………………………………………………………………13 | | | | Schedule I: Computation of Net Capital under Rule 15c3-1 of the Securities and<br>Exchange Act of 1934 14 | | | | Schedule II: Computation for Determination of Reserve Requirements for Brokers<br>and Dealers Pursuant to Rule 15c3-3 under the Securities and Exchange<br>Act | | | | of 1934 15 | | | | Schedule III: Information Relating to the Possession or Control Requirements under the<br>Securities and Exchange Commission Rule 15c3-3……………………………………16 | | | | Independent Registered Accountant's Report on Broker Dealer<br>Exemption…….……………………………………………………………………………………….17 | | | | Broker Dealer Exemption Report…………………………………………………………………………………18 | | | {2}------------------------------------------------ #### **Ferrara CPA** 100 Horizon Center Blvd. Hamilton, NJ 08691 **Tel:** 609-865-5391 **Fax:** 609-435-3422 #### Report of Independent Registered Public Accounting Firm #### To: The Members **Regiment Securities, LLC** #### **Opinion on the Financial Statements** I have audited the accompanying statement of financial condition of Regiment Securities, LLC as of June 30, 2025, and the related statements of operations, changes in member equity and cash flows for the year then ended, that are filed pursuant to Rule 17a-5 under the Securities Exchange Act of 1934 and the related notes (collectively referred to as the financial statements). In my opinion, the financial statements present fairly, in all material respects, the financial position of Regiment S…Read the full text as markdown