Full text of BROWN ASSOCIATES, INC.'s X-17A-5 filed 2022-09-29 (period 2022-07-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | ANNUAL REPORTS | |----------------| | FORM X-17A-5 | | PART Ill | | 0MB APPROVAL | |---------------------------| | 0MB Number 3235-0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | l2<br>hours per response; | | SEC FILE NUMBER | | |-----------------|--| | 8-15665 | | FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FILING FOR THE PERIOD BEGINNING | 08/01/2021<br>---------- | AND ENDING 07/31/2022 | |---------------------------------|------------------------------|-----------------------| | | MM/DD/YY | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | NAME OF FIR». | BROWN ASSOCIATES, INC. | | TYPE OF REGISTRANT (check all applicable boxes): [ Broker-dealer [ Security-based swap dealer [ Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 819 Broad Street | | (No. and Street) | | | | |----------------------------------------------|----------------------------------------------------------------------------------------------------------|---------------|-----------------------|--| | Chattanooga | TN | | 37402 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Huxley Brown | 423-267-3776 | | hbrown@brownassoc.com | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | | | | | | B. ACCOUNTANT IDENTIFICATION<br>INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing | | | | | Rodefer Moss & Co., PLLC | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 608 Mabry Hood Road | Knoxville | TN<br>(State) | (Zip Code) | | | (Address)<br>November 5. 9003 | | 910 | 37932 | | Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(i), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number. {1}------------------------------------------------ #### OATH OR AFFIRMATION | 1, | Huxley Brown<br>. swear (or affirm…Read the full text as markdown