Full text of WOODROCK SECURITIES, L.P.'s X-17A-5 filed 2021-03-03 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ lJNITEOSTATES SEClJIUTIESAND EXCHANGE COMMISSION Washington, D.C. 20549 **ANNUAL AUDITED REPORT FORM X-17A-5 PARTlll** | OMB Number: | | 3235-0123 | |--------------------------|------------------|-----------------------------| | Expires: | October 31, 2023 | | | Estimated average burden | | | | | | hours per response 12.00 | | | | | | | | | 8-66753 SEC FILE NUMBER OMB APPHOVAL FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Ihtle 17a-5 Thereunder | | -------<br>--<br>REPORT FOR THE PERIOD BEGINNING 01 /01 /2020<br>AND ENDING 12/31 /2020 | | | | |-------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------|--------------------------|-----------------------------------|--| | - ·- | -·<br>MM/DD/YY | - | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME or BROKER-DEALER: WoodRock Securities, L.P. | | | 0:1~1AL usEONL v | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM l.D. NO. | | | 4265 San Felipe, Suite 600 ~- | | | | | | | ~------~<br>(No . and Slrcet) | | | | | Houston | Texas | | 77027 | | | (City) | (State) | -------· -- ------ ----- | ·--- -·- ·--~· ---~<br>(Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>John P. Dennis | | | (713) 654-0912 | | | | | | (Arca Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | Harper & Pearson Company, P.C. | | | | | | | (Name - if indil•idua/, state last. first. middle name) | | | | | --------<br>One Riverway, Suite 1900<br>-----·-· | ---------------<br>Houston | Texas | 77056 | | | (Addre ss} | (C ity) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | I/<br>!certified Public Accountant | | | | | | Public Accountant | | | | | | a<br>E---<br>Accountant not resident in United States or any of its possessions. | | | | | | ---~ | FF ICIAL USE ONLY<br>.__ | | | | | | | | | | | ---~--------------- | | | | | *\*Claims.fol' exe111plio11.from !he l'eq11ire111e11! lha1 the annual l'eport be covered* by *the opinion of an independent public acco1111ta11t must be supported by a statement o.ffac/s and circumslances relied on as the basis.for the exe111plio11. See Section 240. / 7a-5(e)(2)* SEC 1410 (…Read the full text as markdown