Full text of CARL M. HENNIG, INC.'s X-17A-5 filed 2021-12-13 (period 2021-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## STATEMENT OF FINANCIAL CONDITION AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM SEPTEMBER 30, 2021 {1}------------------------------------------------ #### UNITEDSTATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549 8- SEC FILE NUMBER # hours per response.. . . . . 12.00 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 | REPORT FOR THE PERIOD BEGINNING______________________________ AND ENDING______________________________ | MM/DD/YY<br>A. REGISTRANT IDENTIFICATION | | MM/DD/YY | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|---------------|--------------------------------| | | | | | | | | | | | NAME OF BROKER-DEALER: | OFFICIAL USE ONLY | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM I.D. NO. | | | ___________________________________________________________________________________________________________________ | | | | | | (No. and Street) | | | | ___________________________________________________________________________________________ | | | __________________________ | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>_<br>___________________________________________________________________________________________ | | | _________________________ | | | | | (Area Code – Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | _____________________________________________________________________________________________________________________ | | | | | | (Name – if individual, state last, first, middle name) | | | | _____________________________________________________________________________________________________________________ | | | | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | Certified Public Accountant | | | | | Public Accountant | | | | | Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | \*Claims for exemption from the requirement that the annual report be covered by the opinion of an indepe…Read the full text as markdown