Oakwood Capital Securities Inc.

05/14/2024 | Press release | Distributed by Public on 05/14/2024 11:29

Information Required of Brokers and Dealers - Form X-17A-5

Form X-17A-5 Filer Information UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

ANNUAL AUDITED REPORT
Form X-17A-5
Part III

FACING PAGE
Information Required of Brokers and Dealers Pursuant to Section 17 of the
Securities Exchange Act of 1934 and Rule 17a-5 Thereunder
OMB APPROVAL

FORM X-17A-5

OMB Number: 3235-0123

Estimated average burden hours per response: 12.00

X-17A-5: Filer Information

Filer CIK
0000822653
Filer CCC
XXXXXXXX
Is this a LIVE or TEST Filing? LIVE TEST
Would you like a Return Copy?
Is this an electronic copy of an official filing submitted in paper format?
Confirming Copy File Number

Submission Contact Information

Name
Phone
E-Mail Address
Notify via Filing Website only?

X-17A-5: Submission Information

Report for the Period Beginning
04-01-2023
and Ending
03-31-2024
Type of Registrant Broker-dealer
OTC derivatives dealer

Material Weakness

Does this submission include an accountant's report covering the compliance report that indentifies one or more material weaknesses? Yes No

X-17A-5: A. Registrant Identification

Name of Broker-dealer
OAKWOOD CAPITAL SECURITIES, INC.

Address of Principal Place of Business (Do not use P.O. Box No.)

Address 1
600 HIGHWAY 169 SOUTH
Address 2
SUITE 1410
City
ST. LOUIS PARK
State/Country
MINNESOTA
Mailing Zip/ Portal Code
55426

Name and Telephone Number of Person to Contact in Regard to this Report

Name
Michele Silvestro
Telephone Number
212-668-8700

X-17A-5: B. Accountant Identification

Independent Public Accountant

Name - if individual, state last, first, and middle name
DCPA, Inc.
Address 1
1999 Avenue of the Stars
Address 2
Suite 800
City
Century City
State/Country
CALIFORNIA
Mailing Zip/ Postal Code
90067
Check One Certified Public Accountant
Certified Public Accountant not resident in United States or any of its possessions

X-17A-5: Signature

Oath or Affirmation

I, Douglas King, swear (or affirm) that, to the best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of OAKWOOD CAPITAL SECURITIES, INC., as of 03-31-2024, are true and correct. I further swear (or affirm) that neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account classified solely as that of a customer, except as follows:
Signature
Douglas King
Title
President, Chief Compliance Officer

Notary Public

Checking this box acknowledges that this oath or affirmation has been notarized.
Oakwood Capital Securities Inc. published this content on May 14, 2024, and is solely responsible for the information contained herein. Distributed via SEC EDGAR on May 14, 2024 at 17:29 UTC. If you believe the information included in the content is inaccurate or outdated and requires editing or removal, please contact us at [email protected]