Full text of WOODBURY FINANCIAL SERVICES, INC.'s X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | FOR OFFICIAL USE ONLY | | | | |----------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------|-----------------------|----------------------------------------------------------|--| | D<br>Accountant not resident in United States or any of its possessions. | | | | | | O<br>Public Accountant | | | | | | I/" I<br>certified Public Accountant | | | | | | CHECK ONE: | | | | | | (Address) | (City) | (State) | (Zip Code) | | | 2901 N. Central Ave Suite 1200 | Phoenix | AZ | 85012 | | | | (Name - if indil>idual, state last, first. middle name) | | | | | Deloitte & T ouche LLP | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | B. ACCOUNT ANT IDENTIFICATION | | | | | | | | (Area Code - Telephone Number) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONT ACT IN REGARD TO THIS REPORT<br>David Schmidt (602) 262-3301 | | | | | | (City) | (State) | | (Zip Code) | | | Oakdale | Minnesota | | 55128 | | | | (No. and Street) | | | | | 7755 3rd Street North | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM 1.0. NO. | | | NAME oF BROKER-DEALER: Woodbury Financial, Inc. | | | OFFICIAL USE ONLY | | | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | REPORT FOR THE PERlOD BEGJNNINGO1 /O1 / 2O2O | MM/DD/VY | AND ENDING 12/31/2020 | MM/DD/VY | | | | Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | | | | | | Information Required of Brokers and Dealers Pursuant to Section 17 of the | | | | | | FACI NG PAGE | | | | | FORM X-17A-5<br>PART Ill | | | SEC FILE NUMBER<br>S-13846 | | | | | | | | | ANNUAL AUDITED REPORT | | | Estimated average burden<br>hours oer resoonse 12.00 | | | Washington, D.C. 20549 | | | 0MB Number:<br>3235-0123<br>October 31, 2023<br>Expires: | | | UNITEDSTATES<br>SECURITIES AND EXCHANGE COMMISSION | | | 0MB APPROVAL | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption.* See *Section 240. I 7a-5{e)(2)* > Potential 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. SEC 1410 (11-05) {1}-------------…Read the full text as markdown