Full text of WOODROCK SECURITIES, L.P.'s X-17A-5 filed 2022-03-04 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURmES AND EXCHANGE COMMISSION Washington, D.C. 20549 ## ANNUAL REPORTS FORM X-17A-S PART Ill | OMBAP•0 nVAl | |--------------------------| | OMB Number: 3235-0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response: 12 | | SEC FILE NUMBER | | |-----------------|--| | 66753 | | FACING PAGE lnfonnatlon Required Pursuant to Rules 17a-5, 17a·lZ, and lBa-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING 01/01 /2021 AND ENDING 12/31 /2021 MM/DD/VY MM/DD/VY A. REGISTRANT IDENTIFICATION NAME OF FIRM: WoodRock Securities, L.P. TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer D Security-based swap dealer D Major security-based swap participant a Check here If respondent Is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | 4265 San Felipe, Suite 600 | | |----------------------------|--| |----------------------------|--| | | (No. and Street) | | | | | |-------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------|---------|--------------------------------------------|----------------------|--| | Houston | | Texas | | 77027 | | | (City) | | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | John P. Dennis, Ill | 713-654-0912 | | | jdennis@woodrock.com | | | (Name) | (Area Code-Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing•<br>Harper & Pearson Company, P.C. | | | | | | | | (Name- If lndlvldual, state last, first, and middle name) | | | | | | One Riverway, Suite 1900 | Houston | | Texas | 77056 | | | (Address) | (City) | | (State) | (Zip Code) | | | 10/14/2003 | | | 431 | | | | (Date of Re.istration with PCAOB)(lf aoollcable) | | | (PCAOB Rei!lstratlon Number, If aoolicable | | | •Claims for exemption from the requlrementthat the annual reports be covered by the reports of an Independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a·S(e)(1)(11), If applicable. Penons who are to respond to the colle<tlon of Information contained In this form are not required to respond unless the fOrm dis plays a currently valid DMB control nu…Read the full text as markdown