Full text of MARWOOD GROUP RESEARCH LLC's X-17A-5 filed 2020-03-02 (period 2019-12-31). 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** | 0MB APPROVAL | | | | | | |--------------------------|-----------------|--|--|--|--| | 0MB Number: | 3235-0123 | | | | | | Expires: | August 31, 2020 | | | | | | Estimated average burden | | | | | | | Hours per response | 12.00 | | | | | 8- **67969** SEC FILE NUMBER # ANNUAL AUDITED REPORT FORM X-17A-5 #### PART Ill **FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING | -----------<br>01/01/2019 | AND ENDING | -------------<br>12/31/2019 | | | |--------------------------------------------------------------------------|-----------------------------------------|------------|-------------------------------|--|--| | | MMIDDNY<br>A. REGISTRANT IDENTIFICATION | | MMIDDNY | | | | | | | | | | | NAME OF BROKER-DEALER: | | | OFFICIAL USE ONLY | | | | Marwood Group Research, LLC | | | FIRM I.D. NO. | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | 733 Third A venue, 11th Floor | | | | | | | | (No. and Street) | | | | | | New York | NY | | 10017 | | | | (City) | (State) | | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | | Thomas J. Modzelewski | 212-532-3651 | | | | | | | | | (Area Code -Telephone Number) | | | | | B. ACCOUNT ANT IDENTIFCATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | KVMCPAsLLP | | | | | | | (Name - if individual, state last, first, middle name) | | | | | | | 100 Jericho Turnpike, Suite 220 | Jericho | NY | 11753-1024 | | | | (Address) | (City) | (State) | (Zip Code) | | | | CHECK ONE: | | | | | | | rzl<br>Certified Public Accountant | | | | | | | D<br>Public Accountant | | | | | | | D<br>Accountant not resident in United States or any of its possessions. | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.l 7a-5(e)(2).* > **Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form disp…Read the full text as markdown