Full text of CARL M. HENNIG, INC.'s X-17A-5 filed 2026-06-26 (period 2025-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES | | OMB APPROVAL | | | |------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|------------|----------------------------------------------------|--|--| | | SECURITIES AND EXCHANGE COMMISSION | | OMB Number: 3235-0123 | | | | | Washington, D.C. 20549 | | Expires: Nov. 30, 2026<br>Estimated average burden | | | | | | | hours per response: 12 | | | | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | | FORM X-17A-5 | | 8-14509 | | | | | PART II! | | | | | | | | | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | | | | 10/01/24 | | 09/30/25 | | | | FILING FOR THE PERIOD BEGINNING | MM/DD/YY | AND ENDING | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | | | | Carl M. Hennig, Inc.<br>NAME OF FIRM: | | | | | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | | Broker-dealer Security-based swap dealer<br>Check here if respondent is also an OTC derivatives dealer | | | Major security-based swap participant | | | | | | | | | | | 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 | | | | | | | Scot Harenburg | 920.231.6630 | | sharenburg@cmhennig.com | | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | NTT & Company, PLLC | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 5865 Mistletoe Avenue | Beaumont | TX | 77707 | | | | (Address) | (City) | (State) | (Zip Code) | | | | 03/19/2019 | | 6543 | | | | | (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 <sup>a</sup> statement of facts and circumstances relied on as the basis of the exemption. See <sup>17</sup> C…Read the full text as markdown