Full text of WOODROCK SECURITIES, L.P.'s X-17A-5 filed 2026-03-03 (period 2025-12-31). 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 # ANNUAL REPORTS FORM X-17A-5 PART III | | | SEC FILE NUMBER | |--|---------|-----------------| | | 8-66753 | | FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 AND ENDING 12/31/2025 FILING FOR THE PERIOD BEGINNING 01/01/2025 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: WoodRock Securities, Inc. TYPE OF REGISTRANT (check all applicable boxes): O Security-based swap dealer Broker-dealer 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 77056 Texas (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING 713-654-0912 John P. Dennis, III jdennis@woodrock.com (Name) (Area Code - Telephone Number) (Email Address) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* EEPB, P.C. (Name- if individual, state last, first, and middle name) 77092 2950 North Loop West Freeway, Suite 1200 HOUSION lexas (City) (Address) (State) (Zip Code) 11/5/2023 879 (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable) FOR OFFICIAL USE ONLY \* Claims for exemption from the requirement that the annual 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-5(e)(1)(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 valid OMB control number. {1}------------------------------------------------ #### OATH OR AFFIRMATION | John P. Dennis, III | swear (or affirm) that, to the best of my knowledge and belief, the | | |---------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------|-------| | tinancial report pertaining to the firm of WoodRock Securities, LLC | | as of | | December 31 | 2 025 is true and correct. I further swear (or affirm) that neither the company nor any | | | | partner, officer, di…Read the full text as markdown