Full text of WILLIAM HOOD & Co LLC.'s X-17A-5 filed 2025-11-06 (period 2025-09-30). 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 # ANNUAL REPORTS FORM X-17A-5 PART III | OMB APPROVAL | |---------------------------| | OMB Number: 3235-0123 | | Expires: Nov. 30, 2026 | | Estimated average burden | | hours per response:<br>12 | | | | SEC FILE NUMBER | 8-70124 | | 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 10/01/2024 | MM/DD/YY | | MM/DD/YY | | | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: William Hood & Company LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>· Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 1330 Avenue of the Americas, 6th Floor | | | | | | | (No. and Street) | | | | | New York | NY | | 10019 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Monique Romero | (212)-668-8700 | | mromero@acisecure.com | | | Name) | (Area Code - Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | NDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Forvis Mazars, LLP | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 60 Crossways Park Drive West, Suite 301 Woodbury | | NY | 11797 | | | Address) | (City) | (State) | (Zip Code) | | | October 16, 2003 | | 686 | | | | Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable | | | | FOR OFFICIAL USE ONLY | | | | { \* Claims for exemption from the requirement that the annual 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 OMB control number. {1}--…Read the full text as markdown