Full text of CARL M. HENNIG, INC.'s X-17A-5/A filed 2025-01-07 (period 2024-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **CONFIDENTIAL** **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | 0MB APPROVAL | |--------------------------| | 0MB Number: 3235-0123 | | Expires: Nov. 30, 2026 | | Estimated average burden | | hours per response: 12 | | | # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | SEC FILE NUMBER | | |-----------------|--| | 8-14509 | | **FACING PAGE** **Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **10/01 /23** AND ENDING **09/30 /24** MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** # NAME OF FIRM: CARL M. HENNIG, INC. TYPE OF REGISTRANT (check all applicable boxes): [!] Broker-dealer O Security-based swap dealer 0 Major security-based swap participant □ 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. and Street) | | | | | | | |---------------------------------------------------------------------------|---------------------------------------------------------|-------------------------|--|--|--|--|--| | OSHKOSH | WI | 54901 | | | | | | | (City) | (State) | (Zip Code) | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | SCOTHARENBURG | 92~231~630 | sharenburg@cmhennig.com | | | | | | | (Name) | (Area Code -Telephone Number} | (Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | | Tuttle & Bond, PLLC | | | | | | | | | | (Name-ifindividual, state last, first, and middle name) | | | | | | | | 2954 Goehmann Lane | Fredericksburg | TX<br>78624 | | | | | | | (Address} | (City} | (State} | (Zip Code) | |--------------------------------------------------|-----------------------|---------|--------------------------------------------| | 03/19/2019 | | 6543 | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB ReRistration 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-5(e)(l)(ii), if applicable. **Persons who are to respond to the collection of information contained in this form are no…Read the full text as markdown