Full text of LOCKWOOD SECURITIES LLC's X-17A-5 filed 2022-02-14 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # PUBLICLY AVAILABLE | UNITED STATES | | | | | | |------------------------------------|--|--|--|--|--| | SECURITIES AND EXCHANGE COMMISSION | | | | | | | Washington, D.C. 20549 | | | | | | | 0MB APPROVAL | |---------------------------| | 0MB Number: 3235-0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | 12<br>hours per response: | | | | SEC FILE NUMBER | | | | 8-69388 | ## **ANNUAL REPORTS FORM X-17A-5 PART** Ill FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | uNG FoR me Peaioo srGwuws 1<br>0<br>1<br>0<br>2<br>0<br>2<br>1 Awo £wows 1 | | 2<br>0<br>3<br>1<br>0<br>2<br>0<br>2<br>1 | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------|-----------------------------------------|--------------------------------------------------------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | saw !<br>we<br>or | | | O<br>C<br>o<br>o<br>D<br>S<br>E<br>C<br>u<br>R<br>I<br>T<br>E<br>S | | TYPE OF REGISTRANT (check all applicable boxes):<br>8Broker-dealer<br>[ Security-based swap dealer<br>[ 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.0. box no.) | | | | | | 1140 Avenue of the Americas, 9th Floor | | | | | (No. and Street) | | | | New York | NY | | 10036 | | (City) | (State) | | (Zip Code) | | Curtis Weeks<br>(Name) | 678-679-8642<br>(Area Code - Telephone Number) | | cweeks@lockwoodsecurities.com<br>(Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing | | | | | | Goldman & Company, CPA's, PC<br>(Name - if individual, state last, first, and middle name) | | | | | | | | | 3535 Roswell Rd, Ste 32<br>(Address) | Marietta<br>(City) | GA<br>(State) | 30062<br>(Zip Code) | | | | | | | 6/25/2009<br>(Date of Registration with PCA0B)(if applicable) | FOR OFFICIAL USE ONLY | 1952 | (PCAOB Registration Number, f i<br>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 0MB control number. {1}--…Read the full text as markdown