Full text of VAN CLEMENS & CO. INCORPORATED's X-17A-5 filed 2022-02-28 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL REPORTS FORM X-17A-5 PART III OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-18414 FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING 01/01/21 AND ENDING 12/31/21 M M/D D/YY M M/D D/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: Van Clemens & Co., Inc. TYPE OF REGISTRANT (check all applicable boxes): ❑ Broker-dealer ❑ Security-based swap dealer ❑ 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.) 900 Second Avenue South, Suite 1500 Minneapolis (No. and Street) MN 5542 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Basil Joseph 012-758-9141 bjoseph ~a vanclemens.com (Name) (Area Code — Telephone Number) (Email Address) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Wipfli, LLP (Name — if individual, state last, first, and middle name) 150 South 5th St Ste 2000 Minneapolis MN 55402 (Address) (City) (State) 344 (Zip Code) (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-5(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 displays a currently valid OMB control number. {1}------------------------------------------------ #### OATH OR AFFIRMATION | I~ Basil Joseph | , swear (or affirm) that, to the best of my knowledge and belief, the | |----------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------| | financial report pertaining to the firm of Van Clemens & Co., Inc. | , as of | | 12131<br>, 221 | , is true and correct. I further swear (or affirm) that neither the company…Read the full text as markdown