3ICO SECURITIES Files X-17A-5 FOCUS Report for 2025
| Field | Detail |
|---|---|
| Company | 3ico Securities LLC |
| Form Type | X-17A-5 |
| Filed Date | Mar 24, 2026 |
| Risk Level | low |
| Pages | 1 |
| Reading Time | 1 min |
| Sentiment | neutral |
Complexity: simple
Sentiment: neutral
Topics: regulatory-filing, broker-dealer, financial-report
TL;DR
**3ICO SECURITIES just dropped its annual financial health check, showing its regulatory compliance and financial standing.**
AI Summary
3ICO SECURITIES LLC filed its X-17A-5 report on March 24, 2026, for the period ending December 31, 2025. This filing, a FOCUS Report, provides a snapshot of the broker-dealer's financial health and operational compliance, which is crucial for investors to assess the company's stability and regulatory adherence. For anyone owning or considering buying this stock, understanding this report helps gauge the firm's ability to meet its financial obligations and operate within SEC guidelines, directly impacting investor confidence and the stock's long-term viability.
Why It Matters
This filing provides transparency into 3ICO SECURITIES LLC's financial condition and regulatory compliance, which is essential for investors to evaluate the firm's operational stability and risk profile.
Risk Assessment
Risk Level: low — This is a routine regulatory filing, indicating ongoing compliance rather than an immediate risk.
Analyst Insight
A smart investor would review the full 'PUBLIC REPORT' document (3icopublic.pdf) linked in the filing to gain deeper insights into 3ICO SECURITIES LLC's financial health and operational details for the period ending December 31, 2025.
Key Numbers
- 2026-03-24 — Filing Date (The date the X-17A-5 report was filed with the SEC.)
- 2025-12-31 — Period of Report (The end date of the financial period covered by this X-17A-5 report.)
- 008-69544 — File No. (The SEC file number for 3ICO SECURITIES LLC under the Act 34.)
- 471811818 — EIN (The Employer Identification Number for 3ICO SECURITIES LLC.)
Key Players & Entities
- 3ICO SECURITIES LLC (company) — the filer of the X-17A-5 report
- 0001622967 (company) — the CIK (Central Index Key) for 3ICO SECURITIES LLC
- 101 W. ELM STREET SUITE 400B CONSHOHOCKEN PA 19428 (company) — the mailing and business address for 3ICO SECURITIES LLC
Forward-Looking Statements
- 3ICO SECURITIES LLC will continue to file its X-17A-5 reports annually, maintaining regulatory compliance. (3ICO SECURITIES LLC) — high confidence, target: 2027-03-31
FAQ
What type of report is the X-17A-5 filed by 3ICO SECURITIES LLC?
The X-17A-5 filed by 3ICO SECURITIES LLC is a FOCUS Report, as indicated by the document description 'Form X-17A-5 - FOCUS Report'.
When was this specific X-17A-5 filing accepted by the SEC?
This X-17A-5 filing was accepted by the SEC on March 24, 2026, at 14:18:56, as stated in the 'Accepted' field.
What is the fiscal year end for 3ICO SECURITIES LLC?
3ICO SECURITIES LLC's fiscal year end is December 31, as specified by 'Fiscal Year End: 1231' in the filing details.
Where is 3ICO SECURITIES LLC's business address located?
3ICO SECURITIES LLC's business address is 101 W. ELM STREET SUITE 400B CONSHOHOCKEN PA 19428, as listed in the 'Business Address' section.
What is the CIK number for 3ICO SECURITIES LLC?
The CIK (Central Index Key) for 3ICO SECURITIES LLC is 0001622967, as stated in the '3ICO SECURITIES LLC (Filer) CIK : 0001622967' section.
Filing Stats: 370 words · 1 min read · ~1 pages · Grade level 13.8 · Accepted 2026-03-24 14:18:56
Filing Documents
- primary_doc.html (X-17A-5)
- primary_doc.xml (X-17A-5) — 2KB
- 3icopublic.pdf (FULL) — 3305KB
- 0001622967-26-000002.txt ( ) — 4552KB
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 3ICO SECURITIES LLC Address of Principal Place of Business (Do not use P.O. Box No.) Address 1 101 W. ELM STREET Address 2 SUITE 400B PENNSYLVANIA Mailing Zip/ Portal Code 19428 Name and Telephone Number of Person to Contact in Regard to this Report Name Donna Rittershausen Telephone Number 610 937 2128 X-17A-5: B. Accountant Identification Independent Public Accountant Name - if individual, state last, first, and middle name Sanville & Company LLC Address 1 325 North Saint Paul Street Address 2 Suite 3100 TEXAS Mailing Zip/ Postal Code 75201 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 , Donna M. Rittershausen, swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of 3ICO 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 Donna M. Rittershausen Title Principal Manager/CCO/CEO