Full text of WOOD (ARTHUR W.) COMPANY, INC.'s X-17A-5 filed 2022-03-30 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # PUBLIC FILING **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** OMBAPPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | hours per response:<br>12 | | |---------------------------|--| | | | | SEC FILE NUMBER | | | 8-3368 | | **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 **Q 1/01/2021** AND ENDING **12/31/2021** MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** # NAME OF FIRM: Arthur W. Wood Company, 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.)** # 50 Congress Street, Suite 700 | | | (No. and Street) | | | | | |---------------------------------------------------------------------------------------------------|--|------------------------------|-----------------------------------------------|-------------------------|--|--| | Boston | | MA | | 02109 | | | | (City) | | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | K H Kennedy | | (617)542-0500 | | kkennedy@arthurwood.com | | | | (Name)<br>(Area Code - Telephone Number) | | | (Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Ohab and Company, PA | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | 100 E Sybeila Ave, Ste 130 | | Maitland | FL | 32751 | | | | (Address) | | (City) | (State) | (Zip Code) | | | | July 28, 2004 | | | 1839 | | | | | Tte of Reglstcation with PCAOB)llf •p~k•bleJ | | | (PCAOB Reglstratloo N,mbec, If applicable I I | | | | | | | FOR OFFICIAL USE ONLY | | | | | \* 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-S(e)(l)(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}------------------…Read the full text as markdown