ALERA SECURITIES Files X-17A-5, Annual Audit for 2025 Period

TL;DR

**ALERA SECURITIES just filed its 2025 annual audit, showing regulatory compliance.**

AI Summary

ALERA SECURITIES LLC, a Delaware-incorporated company, filed its X-17A-5 report on March 24, 2026, for the period ending December 31, 2025. This filing, which includes an annual audit, confirms the company's financial health and compliance with SEC regulations. For investors, this matters because it provides transparency into the broker-dealer's operational and financial integrity, which is crucial for maintaining trust and assessing the stability of their investments if they are clients or partners of Alera Securities.

Why It Matters

This filing confirms ALERA SECURITIES LLC's compliance with regulatory financial reporting, offering transparency into its operational stability and financial health.

Risk Assessment

Risk Level: low — The filing of a routine X-17A-5 with an annual audit indicates standard regulatory compliance, posing no immediate new risks.

Analyst Insight

A smart investor would view this as a routine compliance filing, indicating no immediate red flags or significant new opportunities, but confirming the company's ongoing regulatory adherence.

Key Numbers

• 2026-03-24 — Filing Date (The date ALERA SECURITIES LLC submitted its X-17A-5 report.)
• 2025-12-31 — Period of Report (The end date of the financial period covered by the X-17A-5 report.)
• 008-71359 — File No. (The SEC file number associated with ALERA SECURITIES LLC's registration.)
• 26785268 — Film No. (The film number for this specific SEC filing.)

Key Players & Entities

• ALERA SECURITIES LLC (company) — the filer of the X-17A-5 report
• 0002065734 (company) — the CIK (Central Index Key) for ALERA SECURITIES LLC
• 933340586 (company) — the EIN (Employer Identification Number) for ALERA SECURITIES LLC
• DE (company) — State of Incorporation for ALERA SECURITIES LLC
• THREE PARKWAY NORTH, SUITE 500 DEERFIELD IL 60015 (company) — Business and Mailing Address for ALERA SECURITIES LLC
• 404.310.3032 (company) — Business Phone Number for ALERA SECURITIES LLC

Forward-Looking Statements

• ALERA SECURITIES LLC will continue to file its X-17A-5 reports annually, maintaining regulatory compliance. (ALERA SECURITIES LLC) — high confidence, target: 2027-03-31

FAQ

Filing Documents

• primary_doc.html (X-17A-5)
• primary_doc.xml (X-17A-5) — 2KB
• alera2025public.pdf (FULL) — 2560KB
• 0002065734-26-000003.txt ( ) — 3530KB

From the Filing

Form X-17A-5 Filer Information UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL AUDITED REPORT Form X-17A-5 Part III FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder OMB APPROVAL FORM X-17A-5 OMB Number:  3235-0123, 3235-0749 Estimated average burden hours per response: 12.00 X-17A-5: Filer Information Is this a LIVE or TEST Filing? LIVE TEST Would you like a Return Copy? Is this an electronic copy of an official filing submitted in paper format? Confirming Broker Dealer Copy File Number Confirming Security-Based Swap Entity Copy File Number Submission Contact Information Name Phone E-Mail Address Notify via Filing Website only? X-17A-5: Submission Information Report for the Period Beginning 01-01-2025 and Ending 12-31-2025 Type of Registrant Broker-dealer Security-based swap dealer Major security-based swap participant OTC derivatives dealer Material Weakness Does this submission include an accountant's report covering the compliance report that indentifies one or more material weaknesses? Yes   No X-17A-5: A. Registrant Identification Name of Firm ALERA SECURITIES LLC Address of Principal Place of Business (Do not use P.O. Box No.) Address 1 THREE PARKWAY NORTH, SUITE 500 VIRGINIA Mailing Zip/ Portal Code 60015 Name and Telephone Number of Person to Contact in Regard to this Report Name Lia Goff Telephone Number 804-690-0820 X-17A-5: B. Accountant Identification Independent Public Accountant Name - if individual, state last, first, and middle name Deloitte & Touche, LLP Address 1 111 South Wacker Drive ILLINOIS Mailing Zip/ Postal Code 60606 Check One Certified Public Accountant Certified Public Accountant not resident in United States or any of its possessions X-17A-5: Signature Oath or Affirmation I , Michael Moss, swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of ALERA SECURITIES LLC, as of 12-31-2025, is true and correct. I further swear (or affirm) that neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account classified solely as that of a customer, except as follows: Signature Michael Moss Title Chief Executive Officer

View Full Filing

View this X-17A-5 filing on SEC EDGAR