Full text of BROOKWOOD ASSOCIATES, L.L.C.'s X-17A-5 filed 2022-02-23 (period 2021-12-31). 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 FOR PUBLIC RELEASE ### ANNUAL REPORTS FORM X-17A-5 PART III FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | And And Antiques of American Company Company Company Company Company Comments of Concession Company Company Company Company Company Company Comments of Concess of Concess of | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | OMB Number: 3235-0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response:<br>12 | | | | SEC FILE NUMBER | | | | | OMB APPROVAL FILING FOR THE PERIOD BEGINNING OO I /o / 2021 / 2021 / 2021 / AND ENDING MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OFFIRM: Brook wood ABSOCiates LLC TYPE OF REGISTRANT (check all applicable boxes): Broker-dealer O Security-based swap dealer Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 3575 Piedmant Center, Suite 200, Bidg (No. and Street) PERSON TO CONTACT WITH REGARD TO THIS FILING Sobert Winborne 404-874-CW@ brookuood a 550ciates. ( om (Name) (Area Code - Telephone Number) (Email Address) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* reer Walker, LLP (Name - if individual, state last, first, and middle name) ng, 227 W, Irade St, Suite 1150, C (Address 2324 lune 7. 2005 (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable) FOR OFFICIAL USE ONLY \* Claims for exemption from the requirement that the annual 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 OMB control number. {1}------------------------------------------------ #### OATH OR AFFIRMATION I, \_ Robert LU) , n Jorn e \_ \_ \_ \_ \_ swear (or affirm) that, to the best of my knowledge and belief, the 1) lecember 31 = 2021 , is true and correct. I further swear (or affirm) that neither the company nor any partner, officer, director,…Read the full text as markdown