Full text of MARWOOD GROUP LLC's X-17A-5/A filed 2022-04-07 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | | | 0MB APPROVAL | | |---------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------|--| | | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | 0MB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden<br>hours per response: 12 | | | | | | | | | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | FORM X-17A-5 | | 8-53573 | | | | PART Ill | | | | | | | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | | FILING FOR THE PERIOD BEGINNING | ___<br>__<br>0_l/_0_1/_2_1 | __<br>AND ENDING | ___<br>12_/_3_1/_2_1<br>_ | | | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | | Marwood Group, LLC<br>NAME OF FIRM: | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>!Kl Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | D Security-based swap dealer | D Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 733 Third Avenue, 11th Floor | | | | | | | (No. and Street) | | | | | New York | NY | | 10017 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Thomas J. Modzelewski | 212-532-3651 | tjm@marwoodgroup.com | | | | | (Area Code - Telephone Number) | (Email Address) | | | | (Name) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | KWMCPAsLLP | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 100 Jericho Quadrangle, Suite 220 | Jericho | NY | 11753 | | | (Address) | (City) | (State) | (Zip Code) | | | 03/15/2016 | | 6245 | | | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | * Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public | | | **Persons who are to respond to the collection of information contained in this form are not required to…Read the full text as markdown