Full text of WOODROCK SECURITIES, L.P.'s X-17A-5/A filed 2024-03-20 (period 2023-12-31). 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: Nov. 30, 2026 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8·66753 # ANNUAL REPORTS FORM X·l 7 A·S 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 /2023 | | | | AND ENDING 12/31 /2023 | | | | | MM/DD/YY | | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME oF FIRM: Wood Rock Securities, L.P. | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>D Security-based swap dealer<br>0 Broker-dealer<br>0 Check here if respondent is also an OTC derivatives 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) | | | | | | | | | | | 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 relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. Persons who are to respond to the collection of Information contained in this form are not required to respond unless the form displays a currently valld OMB control number. {1}-----------------------…Read the full text as markdown