Full text of LOCKWOOD SECURITIES LLC's X-17A-5 filed 2021-02-12 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ## **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | | OMB APPROVAL | |--------------------------|----------------------------| | OMB Number: | 3235-0123 | | Expires: | August 31, 202-0 | | Estimated average burden | | | | hours n<>r resoonse 12.00 | | | | SEC FILE NUMBER S-69388 # .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 O 1 | /0<br>1 /2020 | | AND ENDING 12/31 /2020 | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------|---------|--------------------------------|--| | | MM/DDIYY | | lvlMIDD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: Lockwood Securities LLC | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | 1140 Avenue of the Americas, 9th floor | | | | | | | (No. and Street) | | | | | New York | NY | | 10036 | | | (City) | (Stoto) | | (Zip Code) | | | NAME AND TELEP] !ONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Curtis Weel<s 678-679-8642<br>INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report"<br>Goldman and Company, CPAs PC | B. ACCOUNTANT IDENTIFICATION | | (Area Code - Telephone Number) | | | | -�������������������������������<br>(Name: - if tndlvldual, state lost, first. middle name) | | | | | 3535 Roswell Rd, Suite 32 | Marietta | GA | 30062 | | | (Address) | (City} | (State) | (Zip Code) | | | CHECK ONE:<br>/'<br>I certified Public Accountant<br>I<br>Public Accountant<br>Accountant not resident in United States or any of its possessions.<br>B | FOR OFFICIAL USE ONLY | | | | | | | | | | *\*Claims for exemptionfrom 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 240.17a-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 displays a currently valid OM…Read the full text as markdown