FIRST HILL SECURITIES Files X-17A-5 for 2025, Confirms Compliance
| Field | Detail |
|---|---|
| Company | First Hill 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, compliance, broker-dealer, annual-report
TL;DR
**FIRST HILL SECURITIES just filed its annual regulatory report, showing it's playing by the rules.**
AI Summary
FIRST HILL SECURITIES, LLC filed its X-17A-5 report on March 24, 2026, for the period ending December 31, 2025. This filing, a routine annual audit for broker-dealers, confirms the company's financial health and compliance with SEC regulations. For investors, this matters because it indicates the company is meeting its regulatory obligations, which is a foundational aspect of trust and operational stability for any financial services firm.
Why It Matters
This filing is a standard regulatory check, assuring investors that FIRST HILL SECURITIES, LLC is operating within SEC guidelines and maintaining proper financial records, which is crucial for investor confidence.
Risk Assessment
Risk Level: low — This is a routine compliance filing with no immediate red flags, indicating standard operational transparency.
Analyst Insight
A smart investor would view this as a routine compliance filing, indicating the company is meeting its basic regulatory obligations, which is a positive sign for operational stability but doesn't provide new financial performance insights.
Key Numbers
- 2025-12-31 — Period of Report (The fiscal year-end covered by this X-17A-5 filing.)
- 2026-03-24 — Filing Date (The date the X-17A-5 report was submitted to the SEC.)
- 008-69212 — File No. (The SEC file number associated with FIRST HILL SECURITIES, LLC's registration.)
Key Players & Entities
- FIRST HILL SECURITIES, LLC (company) — the filer of the X-17A-5 report
- SEC (company) — the regulatory body requiring the filing
- 0001564592 (person) — the CIK (Central Index Key) for FIRST HILL SECURITIES, LLC
Forward-Looking Statements
- FIRST HILL SECURITIES, LLC will continue to file its annual X-17A-5 reports on time. (FIRST HILL SECURITIES, LLC) — high confidence, target: 2027-03-31
FAQ
What is the primary purpose of an X-17A-5 filing for FIRST HILL SECURITIES, LLC?
The X-17A-5 filing, also known as a FOCUS Report, is a mandatory annual audit report for broker-dealers like FIRST HILL SECURITIES, LLC, required by the SEC to ensure financial transparency and compliance with regulatory standards for the period ending December 31, 2025.
When was this specific X-17A-5 report filed and what period does it cover?
This X-17A-5 report was filed on March 24, 2026, and covers the period ending December 31, 2025, as indicated by the 'Filing Date' and 'Period of Report' in the document details.
What is the CIK number for FIRST HILL SECURITIES, LLC, and what does it signify?
The CIK number for FIRST HILL SECURITIES, LLC is 0001564592. This is a unique identifier assigned by the SEC to entities that file disclosures, allowing easy access to all their public filings.
Where is FIRST HILL SECURITIES, LLC primarily located, according to the filing?
According to the filing, FIRST HILL SECURITIES, LLC's mailing and business address is 6800 S. DAWSON CIRCLE, SUITE 227, CENTENNIAL CO 80112.
What is the significance of the 'Effectiveness Date' being the same as the 'Filing Date' for this report?
The 'Effectiveness Date' of March 24, 2026, being the same as the 'Filing Date' indicates that the report became officially effective and publicly accessible on the day it was submitted to the SEC, signifying immediate regulatory acceptance.
Filing Stats: 366 words · 1 min read · ~1 pages · Grade level 14 · Accepted 2026-03-24 18:24:30
Filing Documents
- primary_doc.html (X-17A-5)
- primary_doc.xml (X-17A-5) — 2KB
- firsthill2025public.pdf (FULL) — 252KB
- 0001564592-26-000002.txt ( ) — 350KB
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 FIRST HILL SECURITIES, LLC Address of Principal Place of Business (Do not use P.O. Box No.) Address 1 6800 S. DAWSON CIRCLE, SUITE 227 COLORADO Mailing Zip/ Portal Code 80112 Name and Telephone Number of Person to Contact in Regard to this Report Name Carol Ann Kinzer Telephone Number 678-525-0992 X-17A-5: B. Accountant Identification Independent Public Accountant Name - if individual, state last, first, and middle name Ohab and Company, PA Address 1 100 E. Sybelia Avenue Address 2 Suite 130 FLORIDA Mailing Zip/ Postal Code 32751 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 , Jeff Sussman, swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of FIRST HILL 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 Jeff Sussman Title Managing Member