# EDGAR Filing Document

**Accession Number:** 0001586742
**File Stem:** 0001586742-26-000004
**Filing Date:** 2026-4
**Character Count:** 2338
**Document Hash:** 704da916b7383c3332067d032a4aec05
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001586742-26-000004.hdr.sgml**: 20260424

**ACCESSION NUMBER**: 0001586742-26-000004

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

**CONFIRMING COPY**: 

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20251231

**FILED AS OF DATE**: 20260424

**DATE AS OF CHANGE**: 20260424

**PERIOD START**: 20250101

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** RICHARD JAMES & ASSOCIATES, INC.
- **CENTRAL INDEX KEY:** 0001586742

**ORGANIZATION NAME:**
- **EIN:** 611720365
- **STATE OF INCORPORATION:** NY
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** X-17A-5
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 008-69352

**BUSINESS ADDRESS:**
- **STREET 1:** 2 ROOSEVELT AVE.
- **STREET 2:** STE 102
- **CITY:** SYOSSET
- **STATE:** NY
- **ZIP:** 11791
- **BUSINESS PHONE:** 516-200-3173

**MAIL ADDRESS:**
- **STREET 1:** 2 ROOSEVELT AVE.
- **STREET 2:** STE 102
- **CITY:** SYOSSET
- **STATE:** NY
- **ZIP:** 11791

### Attached PDF Documents

**Attachment 1:** `x17a5rjapublicreport20251.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:** 0001586742

**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:** RICHARD JAMES & ASSOCIATES, INC.

**Business Address:** 2 ROOSEVELT AVE., STE 102, SYOSSET, NY, 11791

**Contact Person:** Phil

**Contact Phone:** Florio

### Independent Public Accountant Identification

**Accountant Name:** NawrockiSmith Accountants&Advisors

**Accountant Address:** 100 Motor Parkway Suite 580, Hauppauge, NY, 11788

**Accountant Type:** Certified Public Accountant

### OATH OR AFFIRMATION

I, **Phil Florio**, swear (or affirm) that, to the best of my knowledge and belief, the accompanying financial statements and supporting schedules pertaining to the firm of **RICHARD JAMES & ASSOCIATES, INC.**, as of **12-31-2025**, are true and correct.

**Signature:** Phil Florio

**Title:** CEO