# EDGAR Filing Document

**Accession Number:** 0000828688
**File Stem:** 0000828688-26-000004
**Filing Date:** 2026-4
**Character Count:** 2456
**Document Hash:** c4837a313e515739f941caf0a2521967
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000828688-26-000004.hdr.sgml**: 20260416

**ACCESSION NUMBER**: 0000828688-26-000004

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

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20251231

**FILED AS OF DATE**: 20260416

**DATE AS OF CHANGE**: 20260416

**EFFECTIVENESS DATE**: 20260416

**PERIOD START**: 20250101

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** CATHAY SECURITIES, INC.
- **CENTRAL INDEX KEY:** 0000828688

**ORGANIZATION NAME:**
- **EIN:** 133437331
- **STATE OF INCORPORATION:** NY
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** X-17A-5
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 008-39247
- **FILM NUMBER:** 26866259

**BUSINESS ADDRESS:**
- **STREET 1:** 40 WALL STREET
- **STREET 2:** SUITE 3600
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10005
- **BUSINESS PHONE:** 212-285-2261

**MAIL ADDRESS:**
- **STREET 1:** 40 WALL STREET
- **STREET 2:** SUITE 3600
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10005

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** CATHAY SECURITIES INC                                   /BD
- **DATE OF NAME CHANGE:** 19880128

### Attached PDF Documents

**Attachment 1:** `Public.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:** 0000828688

**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:** CATHAY SECURITIES, INC.

**Business Address:** 40 WALL STREET, SUITE 3600, NEW YORK, NY, 10005

**Contact Person:** Shell Li

**Contact Phone:** 9296624026

### Independent Public Accountant Identification

**Accountant Name:** WEI WEI & CO, LLP

**Accountant Address:** 133-10 39TH AVE, FLUSHING, NY, 11354

**Accountant Type:** Certified Public Accountant

### OATH OR AFFIRMATION

I, **XIAOYU LI**, swear (or affirm) that, to the best of my knowledge and belief, the accompanying financial statements and supporting schedules pertaining to the firm of **CATHAY SECURITIES, INC.**, as of **04-15-2026**, are true and correct.

**Signature:** XIAOYU LI

**Title:** CEO