Full text of WORDEN CAPITAL MANAGEMENT LLC's X-17A-5 filed 2020-02-28 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **WORDEN CAPITAL MANAGEMENT LC** Financial Statement and Notes to Financial Statement Pursuant to Rule 17a-5 under the Securities Exchange Actof1934 December 31, 2019 (With Report of Independent Registered Public Accounting Firm Thereon) {1}------------------------------------------------ #### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | | OMB APPROVAL | |-------------|--------------------------| | OMB Number: | 3235-0123 | | | Expires: August 31, 2020 | | | Estimated average burden | | | hours per response 12.00 | | | SEC FILE NUMBER | 8 - 868010 # ANNUAL AUDITED REPORT FORM X-17 A-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 | ----------~~------------- | | 12/31/2019 | | | |-------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--|--| | MM/00/YYYY | | -------~--~---------<br>MM/00/YYYY | | | | | | | | | | | | OFFICIAL USE ONLY | | | | Worden Capital Management LLC | | | | | | | | | | | | | | | | | | | | | | | | NY | | 11530 | | | | (~tate) | | (Zip Code) | | | | | | | | | | | | 516-439-4192 | | | | | | (Area Code -- Telephone No.) | | | | | | | | | | | | | | | | | | | | | | | | | | | | Lake Success | NY | 11042<br>(Zip Code) | | | | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>DePietto CPA PC<br>(City)<br>0 Accountant not resident in United States or any of its possessions | A. REGISTRANT IDENTIFICATION<br>100 Ring Road West Suite 210<br>NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>B. ACCOUNT ANT IDENTIFICATION<br>INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report*<br>(Name-- i(individua/, state last, first, middle name)<br>(State)<br>FOR OFFICIAL USE ONLY | | | *\*Claims for exemption from the requiremenlthat the annual report be covered by the opinion of an independent public accountant must…Read the full text as markdown