Full text of KINGSROCK SECURITIES LLC's X-17A-5 filed 2025-12-29 (period 2025-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | OMB APPROVAL | |---------------------------| | OMB Number: 3235-0123 | | Expires: Nov. 30, 2026 | | Estimated average burden | | hours per response:<br>12 | | | | 8-71064 | | |---------|--| 10/01/24 09/30/25 KingsRock Securities LLC 900 Third Avenue, Suite 1801 New York NY 10022 Steven Plotycia 914-262-1589 steve@sound-harbor.com RUBIO CPA, PC 3500 Lenox Road NE, Suite 1500 Atlanta GA 30326 05/05/09 3514 {1}------------------------------------------------ # OATH OR AFFIRMATION | Louis Jaffe | swear (or affirm) that, to the best of my knowledge and belief, the | | |---------------------------------------------------------------------|-----------------------------------------------------------------------------------------|-------| | financial report pertaining to the firm of KingsRock Securities LLC | | as of | | September 30 | 2 025 is true and correct. I further swear (or affirm) that neither the company nor any | | | | | | partner, officer, director, or equivalent person, as the case may proprietary interest in any account classified soley as that of a customer. | Signature: | Docu Signed by:<br>4CD613FA49464CD | | |------------|------------------------------------|--| | Title: | Co- founder | | # This filing \*\* contains (check all applicable boxes): - (a) Statement of financial condition. - (b) Notes to consolidated statement of financial condition. - □ {c} Statement of income {loss} or, if there is other comprehensive in the period(s) presented, a statement of comprehensive income (as defined in § 210.1-02 of Regulation S-X). - [ (d) Statement of cash flows. - [ (e) Statement of changes in stockholders' or partners' or sole proprietor's equity. - [ (f) Statement of changes in liabilities subordinated to claims of creditors. - [ (g) Notes to consolidated financial statements. - [ h) Computation of net capital under 17 CFR 240.15c3-1 or 17 CFR 240.18a-1, as applicable. - [i) Computation of tangible net worth under 17 CFR 240.18a-2. - | |} 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. - [1) Computation for Determination of PAB Requirements under Exhibit A to § 240.15c3-3. - [ (m) Information relating to possession or control requirements for customers under 17 CFR 240.…Read the full text as markdown