Full text of LOCKWOOD SECURITIES LLC's X-17A-5 filed 2025-02-13 (period 2024-12-31). 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 | |--------------------------| | OMS Number: 3235-0123 | | Expires: Nov. 30, 2026 | | Estimated average burden | | hours per response: 12 | ## **ANNUAL REPORTS FORM X-17A-5 PART** Ill | SEC FILE NUMBER | |-----------------| |-----------------| 8-69388 I **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 1/01/2024** MM/DD/YY AND ENDING **12/31/2024** MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: Lockwood Securities LLC TYPE OF REGISTRANT (check all applicable boxes): [E] Broker-dealer [ Security-based swap dealer D Check here if respondent is also an OTC derivatives 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 {City) PERSON TO CONTACT WITH REGARD TO THIS FILING NY {State) 10036 {Zip Code) Curtis Weeks {Name) 678.679.8642 (Area Code -- Telephone Number) **B. ACCOUNTANT IDENTIFICATION** cweeks@lockwoodsecurities.com {Email Address) INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Goldman and Company CPAs, PC (Name -- if individual, state last, first, and middle name) 3535 Roswell Rd, STE 32 (Address) **6/25/2009** Marietta (City) **GA** {State) **1952 30062** (Zip Code) **rte of Registration with PCAOBJ[lf apµllcableJ FOR OFFICIAL USE ONLY** (PCAOB Reg;�ratioo N"mbec, ;f applkablel • 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)(ii), 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, Jeffery c Lockwood | | | swear (or affirm) that, to the best of my knowledge and belief, the | | | | | | |-----------------------|--------------------------------------------|--|---------------------------------------------------------------------|--|--|--…Read the full text as markdown