Full text of BROOKWOOD ASSOCIATES, L.L.C.'s X-17A-5 filed 2024-02-08 (period 2023-12-31). 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 | | | | | [ PUBLIC ] ### ANNUAL REPORTS FORM X-17A-5 PART III | OM& APPROVAL | | |---------------------------|--| | OMB Number: 3235-0123 | | | Expires: Oct 31, 2023 | | | Estimated average burden | | | hours per response:<br>12 | | | SFC FILE NUMBER | | | | | 8 42303 FACING PAGE | | Information Required Pursuant to Rules 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | |--------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------|--|--|--| | | FILING FOR THE PERIOD BEGINNING 01/01/2023 AND ENDING 12/31/2023<br>MM/DD/YY | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF FIRM: Brookwood Associates, LLC | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | B Broker-dealer - [ ] Security-based swap dealer - O Major security-based swap participant<br>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 Pledmont Center, Bldg 15, Suite 820 | (No. and Street) | | | | | | Atlanta<br>(City) | Georgia<br>(State) | 30067<br>(Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Robert Winborne<br>(Name) | 404-874-7433<br>(Area Code - Telephone Number) | rw@brookwood associates.com<br>(Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | GreerWalker, LLP | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing" | | | | | | | (Name - If individual, state last, first and middle) | | | | | | (Address) | Wells Fargo Center, 15 South Main St, Suite 800, Greenville, SC<br>(City) | (Zip Code)<br>(State) | | | | | June 7, 2005 | 29501 | 2324 | | | | | (Date of Registration with PCAOB)(if applicable) | | (PCAOB Registration Number, if applicable) | | | | | | FOR OFFICIAL USE ONLY | | | | | | CFR 240.17a-5(e)(1)(ii), If applicable. | " Claims for exemption from the requirement that the annual reports of an independent public<br>accountant must be supported by a statement of facts and circumstances relied on as the bas…Read the full text as markdown