WoodRock Securities, LP
Form CRS Customer Relationship Summary

June 30, 2020


Woodrock Securities, L.P. (“Woodrock” or the “Firm”) is registered with the Securities and Exchange Commission (SEC) as a broker-dealer and is a member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC). There are different ways you can get help with your investments. You should carefully consider which types of accounts and services are right for you. We are a broker-dealer and provide brokerage accounts and services rather than advisory accounts and services. This document gives you a summary of the types of services we provide and how you pay. Please ask us for more information. In addition, there are various suggested “Conversation Starters” contained in this document. Free and simple tools are available to research firms and financial professionals at www.Investor.gov/CRS, which also provides educational materials about broker-dealers, investment advisors, and investing.

What investment services and advice can you provide me?

The Firm offers private placements of securities, typically in the energy or real estate sectors. The Firm only solicits and sells these investments to accredited investors. The Firm provides an investment recommendation, but does not exercise discretionary authority and authorize the investment behalf of the client. As such, each investor is responsible for making the ultimate investment decision. The Firm does not monitor client accounts an on-going basis. Finally, the Firm only offers products that are sponsored by our affiliates. Other Firms could offer a wider range of choices, some of which might have lower costs. For additional information about our parent company, please refer to www.woodrock.com.

Conversation Starters. Ask your financial professional:

  • Given my financial situation, should I choose a brokerage service? Why or why not?
  • How will you choose investments to recommend me?
  • What is your relevant experience, including your licenses, education and other qualifications? What do these qualifications mean?

What fees will I pay?

If you open a brokerage account, you will pay us a transaction-based fee, generally referred to as a commission, every time you buy an investment. Each investment offered by the Firm is solicited and sold utilizing a Private Placement Memorandum (“PPM”) These offerings typically charge up-front fees of between 6-8%, although a client should refer to the offering-specific PPM for the commission and other fees, if any, to be charged on their investment. The Firm, or an affiliate, may receive additional compensation as a result of your investment and you should again refer to the offering-specific PPM for a description of these fees and expenses.

You will pay fees and costs whether you make money or lose money on your investments. Fees and costs will reduce any amount of money you make on your investments over time. Please make sure you understand what fees and costs you will be paying.

Conversation Starters. Ask your financial professional:

  • Help me understand how these fees and costs might affect my investments.
  • If I give you $10,000 to invest, how much will go to fees and costs, and how much will be invested for me?

What are your legal obligations to me when providing recommendations?
How else does your firm make money and what conflicts of interest do you have?

We must abide by certain laws and regulations in our interactions with you. When we provide you with a recommendation, we have to act in your best interest and not put our interest ahead of yours. At the same time, the way we make money creates some conflicts with your interests. You should understand and ask us about these conflicts because they affect the recommendations, we provide you. For example, a conflict of interest arises because the Firm only receives compensation when a client purchases an investment from the Firm. A prospective investor should refer to the PPM specific to their investment for a detailed discussion of the conflicts of interest relating the specific offering and the other ways, if any, that the Firm makes money when a retail investor purchases investments through the Firm.

Conversation Starter. Ask your financial professional:

  • How might your conflicts of interest affect me, and how will you address them?

How do your financial professionals make money?

None of the individuals associated with the Firm receive any compensation as a result of your investment. All client investments have to be approved by a senior manager, who is responsible for determining if the investment is in your best interest, thus mitigating the potential conflict of interest by the individual making recommendation(s) to you.

Do your financial professionals have legal or disciplinary history?

Yes the Firm had disciplinary actions taken against it in 2009 and 2011. For more information, visit www.Investor.gov/CRS for a free and simple search tool to research us and our financial professionals.

Conversation Starters. Ask your financial professional:

  • As a financial professional, do you have any disciplinary history?
  • For what type of conduct?

Additional Information

For additional up-to-date information, or to request a copy of this disclosure, please contact Matthew Verghese at (713) 654-0912 or send him an e-mail at mverghese@woodrock.com

Conversation Starters. Ask your financial professional:

  • Who is my primary contact person?
  • Is he or she a representative of an invest advisor or a broker-dealer?
  • Who can I talk to if I have concerns about how this person is treating me?