# EDGAR Filing Document

**Accession Number:** 0000872796
**File Stem:** 0000872796-26-000004
**Filing Date:** 2026-2
**Character Count:** 2798
**Document Hash:** 788ee25644c531db7098dff077edfd0b
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000872796-26-000004.hdr.sgml**: 20260227

**ACCESSION NUMBER**: 0000872796-26-000004

**CONFORMED SUBMISSION TYPE**: X-17A-5

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20251231

**FILED AS OF DATE**: 20260227

**DATE AS OF CHANGE**: 20260227

**EFFECTIVENESS DATE**: 20260227

**PERIOD START**: 20250101

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** TRADITION SECURITIES AND DERIVATIVES LLC
- **CENTRAL INDEX KEY:** 0000872796

**ORGANIZATION NAME:**
- **EIN:** 133517908
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** X-17A-5
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 008-43559
- **FILM NUMBER:** 26700193

**BUSINESS ADDRESS:**
- **STREET 1:** 32 OLD SLIP
- **STREET 2:** 28TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10005
- **BUSINESS PHONE:** 212 238-5959

**MAIL ADDRESS:**
- **STREET 1:** 32 OLD SLIP
- **STREET 2:** 28TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10005

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** TRADITION SECURITIES AND DERIVATIVES, INC.
- **DATE OF NAME CHANGE:** 20210111

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** TRADITION SECURITIES AND DERIVATIVES LLC
- **DATE OF NAME CHANGE:** 20210106

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** TRADITION SECURITIES AND DERIVATIVES, INC.
- **DATE OF NAME CHANGE:** 20160412

### Attached PDF Documents

**Attachment 1:** `TSD_SOFC_2025_2.pdf`

_No text found in this document._

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM X-17A-5

### ANNUAL AUDITED REPORT

### Filer Information

**Filer CIK:** 0000872796

**Filer CCC:** XXXXXXXX

**Is this a LIVE or TEST filing?:** LIVE

**Would you like a Return Copy?:** Yes

### Submission Information

**Report Period Begin Date:** 01-01-2025

**Report Period End Date:** 12-31-2025

**Type of Registrant:** Broker-dealer

**Any material weaknesses identified?:** No

### Registrant Identification

**Name of Broker-Dealer:** TRADITION SECURITIES AND DERIVATIVES LLC

**Business Address:** 32 OLD SLIP, 28TH FLOOR, NEW YORK, NY, 10005

**Contact Person:** John Gangi

**Contact Phone:** 212-791-6035

### Independent Public Accountant Identification

**Accountant Name:** KPMG LLP

**Accountant Address:** Two Manhattan West, New York, NY, 10001

**Accountant Type:** Certified Public Accountant

### OATH OR AFFIRMATION

I, **John Gangi**, swear (or affirm) that, to the best of my knowledge and belief, the accompanying financial statements and supporting schedules pertaining to the firm of **TRADITION SECURITIES AND DERIVATIVES LLC**, as of **12-31-2025**, are true and correct.

**Signature:** John Gangi

**Title:** Financial and Operations Principal

**Notarized:** Yes