Full text of MARWOOD GROUP LLC's X-17A-5 filed 2024-03-05 (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 | | PART Ill | 0MB APPROVAL OMS Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-53573 **FACING PAGE** Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 01 /01 /23 12/31 /23 FILING FOR THE PERIOD BEGINNING \_\_\_\_\_\_\_\_ AND ENDING \_\_\_\_\_\_\_ \_ MM/DD/VY **A. REGISTRANT IDENTIFICATION** Marwood Group, LLC NAME OF FIRM: MM/DD/YY -------------------------------- TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer □ 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 (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 10017 (Zip Code} Thomas J. Modzelewski 212-532-3651 tjrn@rnarwoodgroup .corn (Name) (Area Code- Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* KWM CPAs LLP | Jericho | NY | 11753 | |---------|-----------------|-------------------------------------------------------------------------------------| | (City) | (State)<br>6245 | (Zip Code) | | | | (PCAOB Registration Number, if applicable) | | | | | | | | | | | | (Name - if individual, state last, first, and middle name}<br>FOR OFFICIAL USE ONLY | CFR 240.17a-5(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** | 1, Thomas J. Modzelewski | | swear (or affirm) that, to the best of my knowledge and belief, the | |--------------------------------|-----------------------------------|-------------------------------------------------------------------------------------------------------------------------------------| | financial<br>report pertaining | to the firm of Marwood Group, LLC | as of | | December 31<br>2~, | | is true and correct. I further swear (or affirm) that neither the company nor any | | | | partner, officer, director, or equivalent person, as…Read the full text as markdown