Full text of CAPTIVEX SECURITIES LLC's X-17A-5 filed 2026-03-26 (period 2025-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 OMB APPROVAL OMB Number: 3235-0123 # PART IIШ ANNUAL REPORTS FORM X-17A-5 | SEC FILE NUMBER | |-----------------| | | 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 AND ENDING MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION # NAME OF FIRM: TYPE OF REGISTRANT (check all applicable boxes): responden Broker-dealer Security-based swap dealer Major security-based swap participant 1 Chock boro if ndont is aleo dorivativos doalor ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use <sup>a</sup> P.O. box no.) | (City) | (State) | | (Zip Code) | |----------------------------------------------|---------------------------------------------------------------------------|-----------------|------------| | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. AССOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | | CFR 240.17a-5(e)(1)(ii), if applicable. \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by <sup>a</sup> statement of facts and circumstances relied on as the basis of the exemption. See 17 Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays <sup>a</sup> currently valid OMB control number. {1}------------------------------------------------ # OATH OR AFFIRMATION | Dan Healv | swear (or affirm) that, to the best of my knowledge and belief, the | | |--------------------------------------------------------------------|---------------------------------------------------------------------|-------| | financial report pertaining to the firm of CaptiveX Securities LLC | | as of | | Daramhar 21<br>5006 | | | December 31 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. | Signature: _ | Daniel C. Healy | | |--------------|-----…