Full text of LOCKWOOD SECURITIES LLC's X-17A-5 filed 2026-02-23 (period 2025-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Docusign Envelope ID: A7DEAECC-5125-4AF0-9D99-0AC619FCFC47 | PUBLICLY AVAILABLE | | | | |-----------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|--------------------------------------------|--------------------------------------------------------------------------------------------------------------------------| | | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | 0MB APPROVAi<br>OMB Number: 3235-0123<br>Expires: Nov. 30, 2026<br>Estimated average burden<br>hours per response:<br>12 | | ANNUAL REPORTS | | | SEC FILE NUMBER | | | FORM X-17A-5 | | 8-69388 | | | PART Ill | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and lSa-7 under the Securities Exchange Act of 1934 | AND ENDING 12/31/ | | | FILING FOR THE PERIOD BEGINNING O 1 | /<br>/<br>2025<br>01<br>MM/DD/YY | | 2025<br>MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | NAME OF FIRM: Lockwood Securities LLC | | | | | [El Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | [l Security-based swap dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | 0 Major security-based swap participant | | | 1140 Avenue of the Americas, 9th f | loor | | | | | (No. and Street) | | | | New York | NY | | 0036<br>1 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Curtis Weeks | 678.679.8642<br>Cweeks@lockwoodsecurities.com | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | 8. ACCOUNTANT IDENTIFICATION | | | | | 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 | Marietta | GA | 30062 | | (Address) | (City) | (State) | (Zip Code) | | 6/25/2009 | | 952<br>1 | | | | | (PCAOB Registration Number, if applkable)I | | | of Registration with PCAOB)(if applicable) | | | | | l<br>"' | FOR OFFICIAL USE ONLY | | | **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 OMB control number.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | | OATH OR…Read the full text as markdown