Full text of WOOD WARREN & CO. SECURITIES, LLC's X-17A-5 filed 2026-03-06 (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** # **ANNUAL REPORTS FORM X-17A-S PART** Ill | 0MB APPROVAL | |--------------------------| | 0MB Number: 3235-0123 | | Expires: Nov. 30, 2026 | | Estimated average burden | | hours per response: 12 | | | SEC FILE NUMBER | | |--|-----------------|--| | | | | 8-67024 **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and lSa-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING _1_!1_!_25 | ______<br>__<br>__<br>AND ENDING _1_2_/3_1_!2_5 | | | _<br>_ | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|--------------------------|------------|--| | | MM/DD/VY | | MM/DD/VY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM : Wood Warren & Co. Securities, LLC | | | | | | | TYPE OF REGISTRANT (check all appl icable boxes):<br>D Security-based swap dealer<br>~ Broker-dealer<br>0 Check here if respondent is also an OTC derivatives dealer | | □ Major security-based swap participant | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | One Sansome Street, Suite 3500 | | | | | | | | (No. and Street) | | | | | | San Francisco | CA | | 94104 | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO TH IS FILING | | | | | | | J. Roger Wood | 510-420-3850 | | rwood@woodwarren<br>.com | | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are conta ined in this fi ling*<br>LMHS, P.C. -<br>Certified Publ | ic Accountants and Advisors | | | | | | | {Name - if individual, state last, first, and middle name) | | | | | | 80 Washington Street, Bldg S | Norwell | MA | | 02061 | | | {Address) | {City) | | {State) | {Zip Code) | | | 2/24/09 | | 3373 | | | | | | | | | | | | | 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…Read the full text as markdown