09/26/2024 | Press release | Distributed by Public on 09/26/2024 10:00
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 |
Filer CIK |
0000014651
|
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? |
Report for the Period Beginning |
08-01-2023
|
and Ending |
07-31-2024
|
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 |
Name of Broker-dealer |
BROWN ASSOCIATES, INC.
|
Address 1 |
819 BROAD STREET
|
City |
CHATTANOOGA
|
State/Country |
TENNESSEE
|
Mailing Zip/ Portal Code |
37402
|
Name |
HUXLEY BROWN
|
Telephone Number |
423-267-3776
|
Name - if individual, state last, first, and middle name |
RODEFER MOSS & CO., PLLC
|
Address 1 |
608 MABRY HOOD ROAD
|
City |
KNOXVILLE
|
State/Country |
TENNESSEE
|
Mailing Zip/ Postal Code |
37932
|
Check One |
Certified Public Accountant Certified Public Accountant not resident in United States or any of its possessions |
Signature |
HUXLEY BROWN
|
Title |
PRESIDENT
|
Checking this box acknowledges that this oath or affirmation has been notarized. |