Full text of VAN CLEMENS & CO. INCORPORATED's X-17A-5 filed 2024-04-01 (period 2023-12-31). 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 -17A PART III FACING PAGE a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | OMB APPROVAL | |--------------------------| | OMB Number: 3235.0123 | | Expires: Nov. 30. 2026 | | Estimated average burden | | hours per response: 12 | | | | | SEC FILE NUMBER | FILING FOR THE PERIOD BEGINNING 01/01/23 | 1 | AND ENDING 12/31/23 | | |-----------------------------------------------------------------------------------------------------------------|------------------------------|-----------------------------------------|------------| | | MM/DD/YY | | MM/DDIYY | | | A. REGISTRANT IDENTIFICATION | | | | van Clemens & Co., Inc.<br>NAME OF FIRM: | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | 0 Broker-dealer<br>0 Security-based swap dealer<br>O Check here if respondent is also an OTC derivatives dealer | | D Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 909 Second Avenue South, Suite 1500 | | | | | | (No. and Street) | | | | Minneapolis | | MN | 55402 | | (City) | | (State) | (Zip Code) | PERSON TO CONTACT WITH REGARD TO THIS FILING Information Required Pursuant to Rules 17 | Basil Joseph | 512-758-9141 | bjoseph@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) | (Zip Code) | | | | 344 | | | | | (Date of Registration with PCAOB)(If applicable) | | | (PCAOB Registration Number, if applicable) | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | ' Claims for exemption from the requirement that the 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 Persons who are to respond to the collection of information contained in this form are not require…Read the full text as markdown