Full text of WOODROCK SECURITIES, L.P.'s X-17A-5 filed 2020-03-02 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITEPSTATES 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 SEC FILE NUMBER B-66753 ## **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** FACING PAGE Information Required of Broke1·s and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING 01/01/2019<br>MMIDDfYY<br>A. REGISTRANT IDENTIFICATION<br>NAME OF BROKER-DEALER: Wood Rock Securities, L. P.<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | AND ENDING ~~~~ | 12/31/2019 ~~~~~<br>MMfDDfYY<br>OFFICIAL USE ONLY | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | FIRM l.D. NO. | | | | | | {No. and Street) | | | | Texas | | | | {State} | | | | | | (713) 654·0912 | | | | (Area Code - Telephone Number) | | | | | | | | | | | | | | | | | | | Texas | 77056 | | | (State) | (Zip Code) | | | | | | | | | | | | | | | | | | | | | | | Houston<br>(City) | 77027<br>(Zip Code)<br>NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT lN REGARD TO THIS REPORT<br>B. ACCOUNTANT IDENTIFICATION<br>INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>{Name - if i11dil'idual. stare last. first. middle name)<br>DAccountant 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. 17 a-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 dlsplaysa currently valid OMB control number. SEC 1410 (06-02) {1}-------------…Read the full text as markdown