William Hood & Co LLC has submitted an update regarding its financial reporting status as part of its compliance with SEC regulations. This filing, dated November 6, 2026, is significant as it underscores the company’s commitment to transparency and adherence to regulatory requirements.

William Hood & Co LLC is a broker-dealer based in New York, incorporated in Delaware. The firm operates under the SEC Act of 1934 and is categorized as an 'other' entity type. The recent filing is part of its ongoing obligations to maintain compliance with the SEC.

The filing states that the period of report began on October 1, 2025, and ended on September 30, 2026. It confirms that there are no material weaknesses reported in the company’s financial controls. The CEO, William Hood, signed the filing, indicating its authenticity and compliance with regulatory standards.

This update may affect various stakeholders, including clients, regulatory bodies, and competitors within the broker-dealer industry. As firms navigate the complexities of compliance, this filing serves as a reminder of the importance of adhering to financial reporting standards.

The filing does not specify what happens next regarding further updates or actions required from the company.

Contact Information

The filing includes contact details for the company, specifying that Monique Romero is the designated contact person, reachable at the phone number 212-668-8700. This information may be crucial for stakeholders seeking further clarification regarding the company's financial reporting.

Accountant Information

William Hood & Co LLC has engaged Forvis Mazars, LLP as its certified public accountant. The accountant's office is located at 135 West 50th Street, New York, NY 10020. This relationship is essential for ensuring the integrity and accuracy of the financial statements submitted to the SEC.

Company Background

William Hood & Co LLC was previously known as William Hood & Company LLC until a name change on May 16, 2018. This change reflects the firm's evolution and possibly its strategic direction in the financial services sector.

The filing does not provide any information regarding the company's financial performance during the reporting period or any potential future plans or strategies that may affect its operations.