CHAFFE SECURITIES Files X-17A-5 FOCUS Report for 2025 Year-End

TL;DR

**CHAFFE SECURITIES just filed its annual financial health check with the SEC for 2025, showing regulatory compliance.**

AI Summary

CHAFFE SECURITIES, INC. filed its X-17A-5 FOCUS Report on March 24, 2026, for the period ending December 31, 2025. This filing, required by the SEC, provides a snapshot of the broker-dealer's financial health and operational compliance. For investors, this matters because it offers transparency into the company's regulatory standing and financial stability, which are crucial indicators of a broker-dealer's ability to operate reliably and protect client assets.

Why It Matters

This filing provides a regulatory snapshot of CHAFFE SECURITIES, INC.'s financial condition, which is vital for assessing its operational stability and compliance with SEC rules.

Risk Assessment

Risk Level: low — This is a routine regulatory filing, indicating ongoing compliance rather than a specific risk event.

Analyst Insight

A smart investor would view this as a routine compliance filing, indicating the company is meeting its regulatory obligations. No immediate action is suggested, but it reinforces the company's operational status.

Key Numbers

• 2025-12-31 — Period of Report (This is the fiscal year-end date for which the financial data in the report applies.)
• 2026-03-24 — Filing Date (This is the date the X-17A-5 report was submitted to the SEC.)
• 008-35655 — File No. (This is the specific file number assigned by the SEC for CHAFFE SECURITIES, INC.'s registration.)
• 0000790033 — CIK (This is the unique identifier for CHAFFE SECURITIES, INC. in the SEC's EDGAR system.)

Key Players & Entities

• CHAFFE SECURITIES, INC. (company) — the filer of the X-17A-5 report
• SEC (company) — the regulatory body requiring the filing
• 0000790033 (company) — the CIK (Central Index Key) for CHAFFE SECURITIES, INC.
• 2025-12-31 (date) — the period end date for the report
• 2026-03-24 (date) — the filing date and acceptance date of the report

Forward-Looking Statements

• CHAFFE SECURITIES, INC. will continue to file its X-17A-5 reports on time. (CHAFFE SECURITIES, INC.) — high confidence, target: 2027-03-31

FAQ

Filing Documents

• primary_doc.html (X-17A-5)
• primary_doc.xml (X-17A-5) — 2KB
• p2025csifinal.pdf (FULL) — 211KB
• 0000790033-26-000001.txt ( ) — 295KB

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 CHAFFE SECURITIES, INC. Address of Principal Place of Business (Do not use P.O. Box No.) Address 1 201 St. Charles Ave Address 2 Suite 1410 LOUISIANA Mailing Zip/ Portal Code 70170 Name and Telephone Number of Person to Contact in Regard to this Report Name Nene Gianfala Telephone Number 504-524-1801 X-17A-5: B. Accountant Identification Independent Public Accountant Name - if individual, state last, first, and middle name Mauldin & Jenkins, LLC Address 1 5100 Village Walk Address 2 Suite 300 LOUISIANA Mailing Zip/ Postal Code 70433 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 , Vanessa Brown Claiborne, swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of CHAFFE SECURITIES, INC., as of 03-23-2026, 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 VB Claiborne Title FINOPS

View Full Filing

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