Full text of WOODROCK SECURITIES, L.P.'s X-17A-5/A filed 2023-04-13 (period 2022-12-31). 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 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 > SEC FILE NUMBER 66753 # **ANNUAL REPORTS FORM X-17A-5 PART Ill** FACING PAGE Information Required Pursuant to Rules 17a·S, 17a·12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING 01/01 /2022 AND ENDING 12/31 /2022 MM/DD/YY MM/DD/YY 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 Cl Check here If respondent Is also an OTC derlvatlves 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, 111 | | 713-654-0912 | | jdennis@woodrock.com | | | (Name) | | (Area Code - Telephone Number) | (Emall Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing"'<br>Harper & Pearson Company, P.C. | | | | | | | {Name- if individual, state last, first, and middle name) | | | | | | | One Riverway, Suite 1900 | | Houston | Texas | 77056 | | | (Address) | | (City) | (State) | (Zip Code) | | | 10/14/2003 | | | 431 | | | | (Date of Registration with PCAOB)(if appllcable) | | | | (PCAOB Registration Number, If applicable, | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | • Claims for exemption from the requirement that the annual reports be covered by the reports of an Independent public accountant must be supported by a statement of facts and circumstances relled on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), If applicable. Persons who a re to respond to the collection of information cont a lned In this form are not required to res pond unless the form dis plays a currently valld OMB control number. {1}------------------------------------------------ #### OATH OR AFFIRMATION 1, John P. Dennis, Ill swear (or affirm) that, to the best…Read the full text as markdown