# EDGAR Filing Document

**Accession Number:** 0000088436
**File Stem:** 0000088436-26-000002
**Filing Date:** 2026-3
**Character Count:** 2547
**Document Hash:** 4fc4bde9bb44696e25b2754a80f779d5
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000088436-26-000002.hdr.sgml**: 20260317

**ACCESSION NUMBER**: 0000088436-26-000002

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

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20251231

**FILED AS OF DATE**: 20260317

**DATE AS OF CHANGE**: 20260317

**EFFECTIVENESS DATE**: 20260317

**PERIOD START**: 20250101

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** SECURITIES MANAGEMENT AND RESEARCH, INC.
- **CENTRAL INDEX KEY:** 0000088436

**ORGANIZATION NAME:**
- **EIN:** 591145041
- **STATE OF INCORPORATION:** FL
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** X-17A-5
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 008-12745
- **FILM NUMBER:** 26761251

**BUSINESS ADDRESS:**
- **STREET 1:** 4201 42ND STREET NE
- **STREET 2:** SUITE 100
- **CITY:** CEDAR RAPIDS
- **STATE:** IA
- **ZIP:** 52402
- **BUSINESS PHONE:** 855-767-5700

**MAIL ADDRESS:**
- **STREET 1:** 4201 42ND STREET NE
- **STREET 2:** SUITE 100
- **CITY:** CEDAR RAPIDS
- **STATE:** IA
- **ZIP:** 52402

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** SECURITIES MANAGEMENT & RESEARCH INC                    /BD
- **DATE OF NAME CHANGE:** 20020603

### Attached PDF Documents

**Attachment 1:** `2025smr.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:** 0000088436

**Filer CCC:** XXXXXXXX

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

**Would you like a Return Copy?:** No

### 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:** SECURITIES MANAGEMENT AND RESEARCH, INC.

**Business Address:** 4201 42ND STREET NE, SUITE 100, CEDAR RAPIDS, IA, 52402

**Contact Person:** Brian Rupp

**Contact Phone:** 3194475700

### Independent Public Accountant Identification

**Accountant Name:** CBIZ CPAs P.C.

**Accountant Address:** Nine Parkway North Suite 200, Deerfield, IL, 60015

**Accountant Type:** Certified Public Accountant

### OATH OR AFFIRMATION

I, **Brian Rupp**, swear (or affirm) that, to the best of my knowledge and belief, the accompanying financial statements and supporting schedules pertaining to the firm of **SECURITIES MANAGEMENT AND RESEARCH, INC.**, as of **03-17-2026**, are true and correct.

**Signature:** Brian Rupp

**Title:** CFO