Full text of WULFF, HANSEN & CO.'s X-17A-5 filed 2021-02-25 (period 2020-12-31). 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 0MB APPROVAL 0MB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours □erres□onse .. .... 12.00 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** SEC FILE NUMBER **8-00292** **FACING PAGE Information Reqnired of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING ___ o_ | 1_1_0<br>_0_<br>0 _<br>11_<br>2<br>2<br>_<br>_ | AND ENDING _ | 0<br>0 _ _<br>1<br>2<br>/3<br>1<br>2<br>2 | | |---------------------------------------------------------------------------------------------------|--------------------------------------------------------|--------------|--------------------------------------------------|--| | | MM/DD/YY | | _<br>_<br>_<br>_<br>_<br>_<br>_<br>_<br>MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: | Wulff Hansen & Co. | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM 1.D. NO. | | | 10 | 0 Smith Ranch Road, Suite 330 | | | | | | (No. and Street) | | | | | San Rafael | CA | | 94903 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Christopher D. Charles | | | (415) 421-8900 | | | | | | (Arca Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | Cropper Accountancy Corporation | | | | | | (Name - if individual, slate las/, first, middle name) | | | | | 2700 Ygnacio Valley Road, Suite 270 Walnut Creek | | CA | 94598 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | I✓ I<br>Certified Public Accountant | | | | | | Public Accountant | | | | | | B<br>Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240. I 7a-5 (e)(2)* > **Potential 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 0MB control number.**…Read the full text as markdown