Full text of WOODROCK SECURITIES, L.P.'s X-17A-5 filed 2019-03-01 (period 2018-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ WOODROCK SECURITIES, L.P. FINANCIAL STATEMENTS DECEMBER 31, 2018 {1}------------------------------------------------ UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235 0123 Expires: August 31, 2020 Estimated average burden hours per response .. . . . . 12.00 # ANNUAL AUDITED REPORT FORM X-17A-5 PART III | SEC FILE NUMBER | | | |-----------------|--|--| | 8-66753 | | | ## FACING PAGE ## Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thercunder | REPORT FOR THE PERIOD BEGINNING 01/01/2018 | AND ENDING 12/31/2018 | | | |------------------------------------------------------------------------------------------------|---------------------------------------------------------|----------------|--------------------------------| | | MM/DD/YY | | MM/DD/Y Y | | | A. REGISTRANT IDENTITICATION | | | | NAME OF BROKER-DEALER: WoodPock Securities, L.P. | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM I.D. NO. | | | 4265 San Felipe, Suite 600 | | | | | | (No and Street) | | | | Houston | Texas | 77027 | | | (City) | (State) | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>John P. Dennis, III | | (713) 654-0912 | | | | | | (Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | Harper & Pearson Company, P.C. | | | | | | (Name - if individual, state last, first, middle name } | | | | One Riverway, Suite 1900 | Houston | Texas | 77056 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | Certified Public Accountant | | | | | Public Accountant | | | | | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | \*Claims for exemplion 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 240.17a-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 OMB control number. SEC 1410 (06-02) {2}------------------------------------------------ ## OATH OR AFFIRMAT…Read the full text as markdown