Full text of G.W. SHERWOLD ASSOCIATES, INC's X-17A-5 filed 2026-03-16 (period 2026-01-31). 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 OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # ANNUAL REPORTS FORM X-17A-5 PART III | SEC FILE NUMBER | | |-----------------|--| | 8-49740 | | FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 02/01/25 01/31/26 FILING FOR THE PERIOD BEGINNING AND ENDING MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION G.W. Sherwold Associates, Inc. NAME OF FIRM: TYPE OF REGISTRANT (check all applicable boxes): ച Broker-dealer [ Security-based swap dealer | Major security-based swap participant [] Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 22994 El Toro Road (No. and Street) Lake Forest, CA 92630 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Gary W. Sherwold 949-470-0700 gary@gwsherwold.com (Name) (Area Code - Telephone Number) (Email Address) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* DCPA (Name - if individual, state last, first, and middle name) 2121 AVENUE OF THE STARS #800 CENTURY CITY, CITY, CA 90067 (Address) (City) (State) (Zip Code) SEPTEMBER 15, 2020 6567 (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 | Gary W. Sherwold | , swear (or attirm) that, to the best of my knowledge and belief, the | | |---------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------|-------| | financial report pertaining to the firm of G.W. Sherwold Associates, Inc. | | as of | | 1/34 | 2 026 | | | | normal officer director or anywales the recommy no has any program in any pensunt consist colour | | partner…Read the full text as markdown