Full text of MARWOOD GROUP LLC's X-17A-5/A filed 2019-03-08 (period 2018-12-31). 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** | OMBNumber: | | 3235-0123 | | | |--------------------------|-----------------|-----------|--|--| | Expires: | August 31, 2020 | | | | | "stlmated average burden | | | | | | Hours per response | | 12.00 | | | 8- 53573 # ANNUAL AUDITED REPORT # FORM X-17A-5 ## PART Ill #### **FACING PAGE Information Required of Brok~rs and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule l 7a-5 Thereunder** | -----,-------<br>MM/DD /Y Y<br>A. REGISTRANT IDENTIFICATION<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>(No. and Slreel) | | -----------<br>MM/DDNY<br>OFFIOAL USE ONLY<br>FIRM 1.D. NO.<br>10017 | | | |------------------------------------------------------------------------------------------------------------------------------------------------------|---------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--|--| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | (Zip Code) | | | | | | | | | | Thomas J. Modzelewski | | 212-532-3651 | | | | | | {Arca Codo-Telephono Number) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 11753-1024 | | | | | (Stale) | (Zip Code) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | Jericho | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD 1'0 TIIIS REPORT<br>B. ACCOUNTANT IDENTIFCATION<br>INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>NY<br>Accountant not resident in United States or any of its possessions.<br>FOR OFFICIAL USE ONLY | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240. l 7a-5(e)(2).* > Potential 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. SEC 1410 (06-02) {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | 1, | Thomas J. Modzelewski | , swear (…Read the full text as markdown