Full text of WILLIAM HOOD & COMPANY LLC.'s X-17A-5 filed 2024-11-12 (period 2024-09-30). 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** Ill | 0MB APPROVAL | |--------------------------| | 0MB Number: 3235-0123 | | Expires: Nov. 30, 2026 | | Estimated average burden | | hours per response: 12 | | | SEC FILE NUMOER | |--|-----------------| | | 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 1 Q/01 /2023 | | AND ENDING 09/30/2024 | | |-------------------------------------------------------------------------------------------------------------------------------------|------------------------------|-----------------------------------------|--| | | MM/DD/VY | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | NAME oF FIRM: William Hood & Company LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>0 Broker-dealer<br>0 Check here if respondent is also an OTC derivatives dealer | O Security-based swap dealer | 0 Major security-based swap participant | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | B. ACCOUNTANT IDENTIFICATION | | |----------------------------------------------|----------------------------------------|-----------------------| | (Name) | (Area Code- Telephone Number) | (Email Address) | | Monique Romero | (212)-668-8700 | mromero@acisecure.com | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | {City) | (State) | (Zip Code) | | New York | NY | 10019 | | | (No. and Street) | | | | 1330 Avenue of the Americas, 6th Floor | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* ## Forvis Mazars, LLP | | (Name - If individual, state last, first, and middle name) | | | |------------------------------------------------|------------------------------------------------------------|---------|------------| | 60 Crossways Park Drive West, Suite 301 | Woodbury | NY | 11797 | | | | (State) | (Zip Code) | | October 16, 2003 | | 686 | | | rte of R,glstca<loo with PCAOS )[If appUcable) | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | • 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 t he exemption. See 17 CFR 240.17a•S(e)(ll(ii), if applicable. Persons who are to respond to the collectio…Read the full text as markdown