The GMS Group LLC

03/19/2026 | Press release | Distributed by Public on 03/19/2026 13:37

Information Required of Brokers and Dealers (Form X-17A-5)

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

Estimated average burden hours per response: 12.00

X-17A-5: Filer Information

Filer CIK
0000311887
Filer CCC
XXXXXXXX
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 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
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 Broker-dealer
THE GMS GROUP, LLC

Address of Principal Place of Business (Do not use P.O. Box No.)

Address 1
120 EAGLE ROCK AVE
Address 2
SUITE 300
City
EAST HANOVER
State/Country
NEW JERSEY
Mailing Zip/ Portal Code
07936

Name and Telephone Number of Person to Contact in Regard to this Report

Name
Danielle Dembowski
Telephone Number
973-548-2515

X-17A-5: B. Accountant Identification

Independent Public Accountant

Name - if individual, state last, first, and middle name
Forvis Mazars, LLP
Address 1
60 Crossway Park Drive West
Address 2
Suite 301
City
Woodbury
State/Country
NEW YORK
Mailing Zip/ Postal Code
11797
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, Danielle Dembowski, swear (or affirm) that, to the best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of THE GMS GROUP, LLC, as of 12-31-2025, are 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
Danielle Dembowski
Title
Chief Financial Officer

Notary Public

Checking this box acknowledges that this oath or affirmation has been notarized.
The GMS Group LLC published this content on March 19, 2026, and is solely responsible for the information contained herein. Distributed via EDGAR on March 19, 2026 at 19:37 UTC. If you believe the information included in the content is inaccurate or outdated and requires editing or removal, please contact us at [email protected]