Full text of LOCKWOOD SECURITIES LLC's X-17A-5 filed 2023-02-15 (period 2022-12-31). 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 | | | hours per response:<br>12 | | | SEC FILE NUMBER | | # **ANNUAL REPORTS FORM X-17A-5** | | PART Ill | | | 8-69388 | | |--------------------------------------------------------------------------------------------------------------------------------------|-------------------------------|---------------------------------|-------------------------------------------------------------|-----------------|-----------------------------------------------------------------------------------| | | | | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | FACING PAGE | | | | | FILING FOR THE PERIOD BEGINNING O 1/01/2022 | | | AND ENDING 12/31/2022 | | | | | | MM/DD/YY | | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | we or aw L | | | | | o<br>c<br>k<br>w<br>o<br>o<br>d<br>S<br>e<br>c<br>u<br>r<br>i<br>t<br>i<br>e<br>s | | TYPE OF REGISTRANT {check all applicable boxes):<br>al Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | [l Security-based swap dealer | | D Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box_ no.) | | | | | | | | | | 1140 Avenue of the Americas, 9th floor | | | | | | (No. and Street) | | | | | | New York | | NY | | 10036 | | {City) | | {State) | | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Curtis Weeks | | 678-679-8642 | Cweeks@lockwoodsecurities.com | | | | (Name) | | (Area Code -- Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing<br>Goldman and Company, CPA's, PC | | | | | | | | | | (Name -- if individual, state last, first, and middle name) | | | | 3535 Roswel I Rd, Ste 32 | | Marietta | | GA | 30062 | | (Address)<br>6/25/2009 | | (City) | 1952 | (State) | (Zip Code) | | | | FOR OFFICIAL USE ONLY | | | | | rte of Reg;,t,ai;oo with PCAOB)(;f applicab•J | | | | | (PCAOB R,g;<tratioo Norn be,, ;f ,,.ncabl•J I | Claims 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…Read the full text as markdown