Full text of BROWN ASSOCIATES, INC.'s X-17A-5 filed 2023-09-26 (period 2023-07-31). 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: 0ct. 31, 2023 Estimated average burden hours per response: 12 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 08/01/2022 MM/DD/YY ANO ENDING 07/31/2023 MM/DD/YY A. REGISTRANT IDENTIFICATION NAME or rims~ Brown Associates, Inc. TYPE OF REGISTRANT (check all applicable boxes): [l Broker-dealer [ Security-based swap dealer [ Check here if respondent is also an OTC derivatives dealer E 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 (City) PERSON TO CONTACT WITH REGARD TO THIS FILING TN (State) 37402 (Zip Code) Huxley Brown (Name) 423-267-3776 (Area Code - Telephone Number) B. ACCOUNTANT IDENTIFICATION hbrown@brownassoc.com (Email Address) INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing Rodefer Moss & Co., PLLC 608 Mabry Hood Road (Address) November 5, 2003 Knoxville (City) TN (State) 910 37932 (Zip Code) (Name -- if individual, state last, first, and middle name) (Date of Registration with PCA0B)(if applicable) FOR OFFICIAL USE ONLY (PCAOB Registration Number, if applicable) 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)(ii), 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 | Huxley Brown<br>Brown Associates Inc.<br>financial report pertaining to the firm of<br>as of | | | | | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--|--|--|--| | | | | | | | 2} ,is true and correct. Ifurther swear (or affirm) that neither the company nor any<br>July_31 | | | | | | partner, officer, director, or equivalent person, as the case may be, has any pr…Read the full text as markdown