Full text of BROWN ASSOCIATES, INC.'s X-17A-5 filed 2025-09-22 (period 2025-07-31). 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-S 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 08/01/2024 | | AND ENDING 07/31/2025 | | | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME Or rm. Brown Associates, Inc. | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>[ Broker-dealer<br>[] Security-based swap dealer<br>[l Check here if respondent is also an OTC derivatives dealer | | [ Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use aP.0. 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 | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing<br>Rodefer Moss & Co., PLLC | | | | | | (Name - if individual, state last, first, and middle name) | | | | 608 Mabry Hood Road | Knoxville | TN | 37932 | | (Address) | (City) | (State) | (Zip Code) | | November 5, 2003 | | 910 | | | (rat• of Registration with PCAOB)(if applicable) | | (PCAOB Reg,stcat,oa N,mbe,, ,t | appl,cable)I | | Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public | FOR OFFICIAL USE ONLY | | | 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 |…Read the full text as markdown