Full text of CARL M. HENNIG, INC.'s X-17A-5 filed 2023-12-27 (period 2023-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## FINANCIAL STATEMENTS AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM PURSUANT TO RULE 17a-5 SEPTEMBER 30, 2023 {1}------------------------------------------------ | | | UNITED STATES | | OMBAPPROVAL | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------|--------------------------------------------------------------------------------------------------------------------------|---------|-------------------------------------------------| | | | SECURITIES AND EXCHANGE COMMISSION | | 0MB Number: 3235-0123<br>Expires: Oct. 31, 2023 | | | | Washington, D.C. 20549 | | Estimated average burden | | | | | | hours per response: 12 | | | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | FORM X-17A-5 | | 14509 | | | | PART Ill | | | | | | | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-S, 17a-12, and lSa-7 under the Securities Exchange Act of 1934 | | | | FILING FOR THE PERIOD BEGINNING 10/01/2022 | | | | AND ENDING 09/30/2023 | | | | MM/DD/VY | | MM/DD/VY | | | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | NAME oFFtRM: Carl M. Hennig, Inc. | | | | | | | | | | | | lYPE OF REGISTRANT (check all applicable boxes): | | | | | | ii!! Broker-dealer | □ Security-based swap dealer | | | □ 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.) | | | | | | | | | | | | 206 North Main Street | | | | | | | | (No. arid Street) | | | | | Oshkosh | WI | | 54901 | | (City) | | (State). | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | | | | | | | | | | Scot A. Harenburg | | (920 )-231-6630 | | | | | | (Area Code -Telephone rilumber) | | (Email Address) | | (Name) | | B. ACCOU)\iTANT IDENTIFICATION | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | | | | | | | DeMarco Sciaccotta Wilkens & Dunleavy,_ LLP | | | | | | ·(Name - if individual, State last, first, and middle name) | | | | 20646 Abbey Woods Ct. N, Ste. 201 | | Frankfort | IL | 60423 | | (Address) | | (City) | (State) | (Zip Code) | | 12/21/2010 | | | 5376 | | | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | * Claims for exemption from the requirement that the annual re…Read the full text as markdown