Full text of BROOKWOOD ASSOCIATES, L.L.C.'s X-17A-5/A filed 2023-02-24 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES | | 0MB APPROVAL | |--------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|------------------------|-------------------------------------------------------| | | SECURITIES AND EXCHANGE COMMISSION | | 0MB Number: 3235-0123 | | [ FOR PUBLIC RELEASE ] | Washington, D.C. 20549 | | Expires: Oct. 31, 2023 | | | | | Estimated average burden<br>hours per response:<br>12 | | | | | | | | ANNUAL REPORTS | | SEC FILE NUMBER | | | FORM X-17A-5 | | 8-42303 | | | PART Ill | | | | | | | | | | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | FILING FOR THE PERIOD BEGINNING __ 01/01/2022 ___ | AND ENDING _12/31/2022 | __<br>_ | | | MM/DD/VY | | MM/DD/VY | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | NAME OF FIRM: _Brookwood Associates, LLC | | | __________________<br>_ | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | ~ Broker-dealer | D Security-based swap dealer | | □ Major security-based swap participant | | D 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 Piedmont Center, Bldg 15, Suite 820 | | | | | | (No. and Street) | | | | | | | | | Atlanta | Georgia | | 30067 | | (City) | (State) | | (Zip Code) | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | | Robert Winborne | 404-874-7433 | | rw@brookwoodassociates.com | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | Greer Walker, LLP | | | | | | | | | | | (Name - if individual, state last, first and middle) | | | | | | | | | | Wells Fargo Center, 15 South Main St, Suite 800, Greenville, SC | | | | (Address) | (City) | (State) | (Zip Code) | | | __________________<br>29601 | ___ | __ | | _June 7, 2005 _ | | _ | 2324<br>_ | | te of Reglst,atloo with PCAOB ){If applicable) | FOR OFFICIAL USE ON LY | | (PCAOB Reglstcatioo Nombe,, it applicable) | | | | | | | | | | | | | | | | | | * Claims for exemption from the requirement that the annual reports be covered by the reports of an independe…Read the full text as markdown