Full text of BROOKWOOD ASSOCIATES, L.L.C.'s X-17A-5 filed 2021-02-11 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ [ **FOR PUBLIC RELEASE** ] **UNITED STATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549 ANNUAL AUDITED REPORT** | | 0MB APPROVAL | | | | |--------------------------|--------------|---------------------------|--|--| | 0MB Number; | | 3235-0123 | | | | Expires; | | October 31 , 2023 | | | | Estimated average burden | | | | | | | | hours per resoonse 12.00 | | | ## **FORM X-17 A-5 PART Ill** | SEC FILE NUMBER | |-----------------| | 8-42303 | **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | | AND ENDING 12/31/2020<br>REPORT FOR THE PERIOD BEGINNING01/01/2020 | | | | | | |--------------------------------------------------------------------------------------------|---------------------------------------------------------------------|---------|--------------------------------|--|--|--| | | MM/DD/YY | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | NAME OF BROKER-DEALER: Brookwood Associates, LLC | | | OFFICIAL USE ONLY | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | | | 15 Piedmont Center, Suite 820 | | | | | | | | | (No. and Street) | | | | | | | | | | 30067 | | | | | (City) | | | (Zip Code) | | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Robert Winborne | | | 404-874-7433 | | | | | | | | (Area Code - Telephone Number) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | | | | Elliott Davis, LLC | | | | | | | | | (Name - 1/ individual, state last, first, middle name) | | | | | | | 629 Market St #100 | Chattanooga | Tn | 37402 | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | CHECK ONE: | | | | | | | | I<br>I<br>ti'<br>Certified Public Accountant | | | | | | | | Public Accountant | | | | | | | | B | Accountant not resident in United States or any of its possessions. | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | *\*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 240.17a-5(e)(2)* > **Potential persons who are to respond to the collection of Information cont…Read the full text as markdown