Full text of WOODROCK SECURITIES, L.P.'s X-17A-5 filed 2024-03-07 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | | OMB APPROVAL<br>OMB Number: 3235-0123<br>Expires: Nov. 30, 2026<br>Estimated average burden<br>hours per response:<br>12 | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------|----------------|----------------------|--------------------------------------------------------------------------------------------------------------------------| | | ANNUAL REPORTS | | | SEC FILE NUMBER | | | FORM X-17A-5 | | 8-66753 | | | | PART Ill | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | | AND ENDING 12/31 /2023<br>FILING FOR THE PERIOD BEGINNING 01/01 /2023 | | | | | | MM/DD/YY | | | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: WoodRock Securities, L.P. | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>E'1 Broker-dealer<br>0 Check here if respondent is also an OTC derivatives dealer | D Security-based swap dealer | | | D Major security-based swap participant | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 4265 San Felipe, Suite 600 | | | | | | | (No. and Street) | | | | | Houston | TX | | | 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>EEPB, P.C. | | | | | | | {Name - if individual, state last, first, and middle name} | | | | | 2950 North Loop West Freeway, Suite 1200 Houston | | | Texas | 77092 | | (Address)<br>11/5/2023 | (City) | (State)<br>879 | | (Zip Code) | | (rte of Registration with PCAOB)(if applicable) | FOR OFFICIAL USE ONLY | | | I<br>(PCAOB Registration Number, if applicable) | | | | | | | | * Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public<br>accountant must be supported by a statement of facts and drcun1stances relied o…Read the full text as markdown