Full text of CARTY, HARDING & HEARN, INC.'s X-17A-5 filed 2026-03-03 (period 2025-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Carty, Harding & Hearn, Inc. #### FINANCIAL REPORT December 31, 2025 {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** ' **ANNUAL REPORTS FORM X-17A-5 PART** Ill **FACING PAGE** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-19082 **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **Q 1/01/2025** MM/DD/YY ANO ENDING **12/31/2025** MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME FFIRM : Carty, Harding & Hearn, Inc. TYPE OF REGISTRANT (check all applicable boxes): [!] Broker-dealer D Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 6263 Poplar Avenue, Suite 800 ( No. and Street) Memphis TN 38119 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Angela Ruetten 901-767-8940 a ruetten@cartyco.com (Name) (Area Code - Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Greer Walker CPAs & Advisors (Name - if individual, state last, first, and middle name) 227 West Trade Street, Suite 11 0 Charlotte NC 28202 {Address) (City) (State) (Zip Code) 06/07/2005 2324 (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable) **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 the exemption. See 17 CFR 240.17a-S(e)(1)(ii), if applicable. **Persons who are to respond to the collection of information contained in this form are not required to respond unless the form dlsplays a currently valid 0MB control number.** {2}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, Angela Ruetten | | | swear (or affirm) that, to the best of my knowledge and belief, the | | |-------------------------------------------------------------------------------------------------------------------------------------|----|-----------|--------------------------------------------------------------------------…Read the full text as markdown