Full text of BROOKWOOD SECURITIES PARTNERS, LLC's X-17A-5 filed 2024-02-29 (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** > **ANNUAL REPORTS FORM X-17A-5** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-46627 # **PART** Ill **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **0 1/01 /23** AND ENDING **12/31 /23** MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: Brookwood Securities Partners, LLC TYPE OF REGISTRANT (check all applicable boxes): C!l Broker-dealer D Security-based swap dealer D 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.) # 138 Conant Street | | (No. and Street) | | | | |----------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------|----------------|-------------------------------|--| | Beverly | MA | | 01915 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Ericka L. Ayles | (978) 720-7500 | | eayles@brookwoodfinancial.com | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>BOO USA, P.C.<br>(Name - if individual, state last, first, and middle name) | | | | | | 1 International Place | Boston | MA | 02110 | | | (Address)<br>10/08/2003 | (City) | (State)<br>243 | (Zip Code) | | | l"<br>of R,g;stcaUoo w;th PCAOB)(;f appUcableJ | {PCAOB Reg;mat;oo N,mbec, ;f appUcableJ | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | \* Claims for exemption from the requirement that the annual reports be covered by the 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-S(e)(l)(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 0MB control number.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, Ericka Ayles | | swear (or affirm) that, to the best…Read the full text as markdown