Full text of WOODROCK SECURITIES, L.P.'s X-17A-5 filed 2023-03-07 (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 MM/DD/VY # **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 Q 1/Q1 /2022 MM/DD/VY AND ENDING 12/31/2022 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 0 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 | | 77027 | | | | | |----------------------------------------------------------------------------|------------|--|--|--|--| | (Zip Code) | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | jdennis@woodrock.com | | | | | | | (Emall Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing"' | | | | | | | Harper & Pearson Company, P.C. | | | | | | | (Name- if individual, state last, first, and middle name) | | | | | | | Texas | 77056 | | | | | | (State) | (Zip Code) | | | | | | | | | | | | | | 431 | | | | | (Date of Registration with PCAOB)(lf applicable) (PCAOB Reglstration Number, If appllcablel FOR OFFICIAL USE ONLY • Clalms 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)(il), 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** 1, John P. Dennis, Ill swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of Wood Rock Sec11rjties I p . as of December 31 , 2022.\_, Is true and correct. I further swear (or affirm) that neither the company nor any partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any acc…Read the full text as markdown