# GALAXY SECURITIES, LLC X-17A-5 (2026-03-05) — Broker-dealer annual report

- Company: GALAXY SECURITIES, LLC
- Form: X-17A-5
- Filed: 2026-03-05
- Period: 2025-12-31
- Accession: 0002019261-26-000004
- CIK: 2019261
- File #: 8-71232
- Type: Broker-dealer
- Material weakness: No
- Auditor: WithumSmith & Brown, PC
- Auditor location: Whippany, NJ
- Contact: Patrick Roach
- Phone: 9296240206
- Email: robert.rico@galaxy.com
- Website: galaxy.com
- Signed by: Patrick Roach (Managing Director)

Original filing: https://www.sec.gov/Archives/edgar/data/2019261/000201926126000004/GSL_123125_PFS.pdf

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| OMB APPROVAL             |  |
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| OMB Number: 3235-0123    |  |
| Expires: Nov. 30, 2026   |  |
| Estimated average burden |  |
| nours per response: 12   |  |
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| 8-71232 |  |
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02/27/25 12/31/25 Galaxy Securities LLC ■ 300 Vesey Street - 13th Floor New York NY 10282 Robert Rico (347) 255-3049 robert.rico@galaxy.com WithumSmith+Brown, PC 200 Jefferson Park Whippany NJ 07981 10/08/2003 100

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# Galaxy Securities LLC

Statement of Financial Condition December 31, 2025

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#### OATH OR AFFIRMATION

| Robert Rico                                                      | swear (or affirm) that, to the best of my knowledge and belief, the |       |
|------------------------------------------------------------------|---------------------------------------------------------------------|-------|
| financial report pertaining to the firm of Galaxy Securities LLC |                                                                     | as of |
| December 31                                                      | , 2 025                                                             |       |

partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classified solely as that of a customer.

| DocuSigned by: |                          |  |  |  |  |  |
|----------------|--------------------------|--|--|--|--|--|
|                | Signature:   Robert Kico |  |  |  |  |  |
|                | 1CC259B4CC0F4FF          |  |  |  |  |  |
| Title:         |                          |  |  |  |  |  |
| CFO, FINOP     |                          |  |  |  |  |  |

### 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 income in the period(s) presented, a statement of comprehensive income (as defined in § 210.1-02 of Regulation S-X).
- O (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.
- □ (j) Computation for determination of customer reserve requirements pursuant to Exhibit A to 17 CFR 200.15c3-3.
- □ (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.
- 0 (m) Information relating to possession or control requirements for customers under 17 CFR 240.15c3-3.
- O (n) Information relating to possession or control requirements for security-based swap customers under 17 CFR 240.15c3-3(p)(2) or 17 CFR 240.18a-4, as applicable.
- □ (o) Reconciliations, including appropriate explanations, of the FOCUS Report with computation of net capible net worth under 17 CFR 240.15c3-1, 17 CFR 240.18a-1, or 17 CFR 240.18a-2, as applicable, and the reserve requirements under 17 CFR 240.15c3-3 or 17 CFR 240.18a-4, as applicable, if material differences exist, or a statement that no material differences exist.
- □ (p) Summary of financial data for subsidiaries not consolidated in the statement of financial condition.
- | |q) Oath or affirmation in accordance with 17 CFR 240.17a-5, 17 CFR 240.18a-7, as applicable.
- | (r) Compliance report in accordance with 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable.
- □ (s) Exemption report in accordance with 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable.
- | (t) Independent public accountant's report based on an examination of the statement of financial condition.
- (u) Independent public accountant's report based on an examination of the financial statements under 17 CFR 240.17a-5, 17 CFR 240.18a-7, or 17 CFR 240.17a-12, as applicable.
- □ (v) Independent public accountant's report based on an examination of certain statements in the compliance report under 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable.
- | (w) Independent public accountant's report based on a review of the exemption report under 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable.
- | as applicable.
- \_ (y) Report describing any material inadequacies found to have existed since the date of the previous audit, or a statement that no material inadequacies exist, under 17 CFR 240.17a-12(k).
- □ (z) Other:
- \*\* To request confidential treatment of certain portions of this filing, see 17 CFR 240.170-5(e)(2), as applicable.

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![](_page_3_Picture_0.jpeg)

# REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

To the Management and Member of Galaxy Securities LLC:

#### Opinion on the Financial Statement

We have audited the accompanying statement of financial condition of Galaxy Securities LLC (the "Company") as of December 31, 2025, and the related notShes (collectively referred to as the "financial statement"). In our opinion, the financial statement presents fairly, in all material respects, the financial position of the Company as of December 31, 2025, in conformity with accounting principles generally accepted in the United States of America.

#### Basis for Opinion

This financial statement is the responsibility of the Company's management. Our responsibility is to express an opinion on this financial statement based on our audit. We are a public accounting firm registered with the Public Company Accounting Oversight Board (United States) ("PCAOB") and are required to be independent with respect to the Company in accordance with the U.S. federal securities laws and the applicable rules and regulations of the Securities and Exchange Commission and the PCAOB.

We conducted our audit in accordance with the standards of the PCAOB. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statement is free of material misstatement, whether due to error or fraud. Our audit included performing procedures to assess the risks of material misstatement of the financial statements, whether due to error or fraud, and performing procedures that respond to those risks. Such procedures included examining, on a test basis, evidence regarding the amounts and disclosures in the financial statement. Our audit also included evaluating the accounting principles used and significant estimates made by management, as well as evaluating the overall presentation of the financial statement. We believe that our audit provides a reasonable basis for our opinion.

We have served as the Company's auditor since 2025.

Whippany, New Jersey March 2, 2026

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