Full text of PFAL SECURITIES, INC.'s X-17A-5 filed 2025-09-25 (period 2025-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | I | | | |---|--|--| | | | | | | | | | UNITED STATES | | | | | | |------------------------------------|--|--|--|--|--| | SECURITIES AND EXCHANGE COMMISSION | | | | | | | W ashington, D.C. 20549 | | | | | | | ANNUAL REPORTS | | | | | |----------------|--|--|--|--| | FORM X-17A-5 | | | | | | PART Ill | | | | | | 0 MB APPROVAL | | | | | |---------------------------|--|--|--|--| | 0 M B Number: 3235-0123 | | | | | | Expires: Nov. 30, 2026 | | | | | | Estimated average burden | | | | | | hours per response:<br>12 | | | | | | SEC FILE NUMBER | |-----------------| | 8-71029 | MM/DD/YY **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 **04/12/24** AND ENDING **06/30/25** MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: PFAL Securities, Inc. TYPE OF REGISTRANT (check all applicable boxes): I!! 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.) | 384 Tennessee Ave | | | | | | |------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|---------------------------------------------|---------------------|--|--| | | (No. and Street) | | | | | | Mill Valley | CA | | 94941<br>(Zip Code) | | | | (City) | (State) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | (914) 262-1589<br>Steven Plotycia | | steve@sound-harbor.com | | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | RUBIO CPA, PC | (Name - if individual, state last, first, and middle name) | | | | | | 3500 Lenox Rd., Suite 1500 Atlanta | | GA | 30326 | | | | (Address) | (City) | (Stat e) | (Zip Code) | | | | 5/5/09 | | 3514 | | | | | (Date of Registration with PCAOB)(if applicable) | | (PCAOB Regist ration Number, if applicable) | | | | | | FOR OFFICIAL USE ONLY | | | | | | • 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 t he bas is of t he exemption. See 17 CFR 240.17a-5(e)(l)(ii), if applicable. **Persons who are to res…