Full text of BROWN ASSOCIATES, INC.'s X-17A-5 filed 2024-09-26 (period 2024-07-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES ANO EXCHANGE COMMISSION Washington, O.C. 20549 | ANNUAL REPORTS | | | |----------------|--|--| | FORM X-17A-5 | | | | PART Ill | | | 0MB AppROVAL 0MB Number; 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER 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 08/01/2023 | | AND ENDING 07/31/2024 | |--------------------------------------------|--|-----------------------| | | | | MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME or rA. 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) | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing | B. ACCOUNTANT IDENTIFICATION | | | | Rodefer Moss & Co., PLLC | | | | | | (Name - if individual, state last, first, and middle name) | | | | 608 Mabry Hood Road<br>(Address) | Knoxville<br>(City) | TN<br>(State) | 37932<br>(Zip Code) | | November 5, 2003 | | 910 | | 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 | | , Hurley Brown<br>swear (or affirm) that, to the best of my knowledge and belief, the | |----|--------------------------------------------------------------------------------------------------…Read the full text as markdown