Tower Principal Markets LLC

02/26/2026 | Press release | Distributed by Public on 02/26/2026 09:48

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
0001925409
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
TOWER PRINCIPAL MARKETS LLC

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

Address 1
111 COLEMAN BLVD
Address 2
SUITE 404
City
MOUNT PLEASANT
State/Country
NEW YORK
Mailing Zip/ Portal Code
29464

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

Name
Michael Ellman
Telephone Number
6465413934

X-17A-5: B. Accountant Identification

Independent Public Accountant

Name - if individual, state last, first, and middle name
RSM US LLP
Address 1
30 South Wacker, Suite 3300
City
Chicago
State/Country
ILLINOIS
Mailing Zip/ Postal Code
60606
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, Sean Concannon, swear (or affirm) that, to the best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of TOWER PRINCIPAL MARKETS 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
Sean Concannon
Title
Principal Financial Officer

Notary Public

Checking this box acknowledges that this oath or affirmation has been notarized.
Tower Principal Markets LLC published this content on February 26, 2026, and is solely responsible for the information contained herein. Distributed via EDGAR on February 26, 2026 at 15:48 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]