Full text of LOCKWOOD SECURITIES LLC's X-17A-5 filed 2024-02-13 (period 2023-12-31). 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: Nov. 30, 2026 | | | Estimated average burden | | | 12<br>hours per response: | | | | | | | | ## **ANNUAL REPORTS FORM X-17A-5 PART** Ill | SEC FILE NUMBER | |-----------------| |-----------------| **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **O 1/01/2023** MM/DD/YY AND ENDING **12/31/2023** MM/DD/YY **A. REGISTRANT IDENTIFICATION** # NAME OF FIRM: Lockwood Securities LLC TYPE OF REGISTRANT (check all applicable boxes): El Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer L Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use aP.0. 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@lockwoodsecurites.com | |--------------|--------------------------------|------------------------------| | (Name) | (Area Code - Telephone Number) | (Email Address) | #### **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing ## Goldman and Company, CPA's, PC | 3535 Roswell RD, STE 32 | Marietta | GA | 30062 | |-----------------------------------------------|-----------------------|---------|----------------------------------------------| | (Address) | (City) | (State) | (Zip Code) | | 6/25/2009 | | 1952 | | | | | | | | T" of Registration with PCADB)llf applicable) | FOR OFFICIAL USE ONLY | | (PCAOB Registration Number, if applicable) 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 of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(i), if 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}------------------------------------------------ #### **OATH OR AFFIRMATION** I, Jeffr…Read the full text as markdown