Full text of WULFF, HANSEN & CO.'s X-17A-5 filed 2022-02-25 (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** | 0MB APPROVAL | |----------------------------| | 0MB Number: 3235-0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response:<br>I 2 | | | SEC FILE NUMBER 8-00292 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill **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 | | 0_1_/0_1_/_20_2_1 __ AND ENDING | 1_2_/3_1_/2_0_2_1 __ | | |---------------------------------|----------|---------------------------------|----------------------|--| | | MM/DD/YY | | MM/DD/YY | | #### **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: Wulff Hansen & Co. TYPE OF REGISTRANT (check all applicable boxes): { Broker-dealer [ Security-based swap dealer □ 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.) | | 100 Smith Ranch Road, Suite 330 | | | |--------------------------------------------------|--------------------------------------------------------------------------------------------------------------|-----------------|--------------------------------------------| | | {No. and Street} | | | | San Rafael | CA | | 94903 | | {City} | {State} | | {Zip Code} | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Christopher D. Charles | (415) 202-6650 | | ccharles@wulffhansen.com | | {Name} | (Area Code - Telephone Number) | (Email Address} | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Cropper Accountancy Corporation | | | | | (Name - if individual, state last, first, and middle name} | | | | 2700 Ygnacio Valley Road, Suite 270 Walnut Creek | | CA | 94598 | | (Address} | (City} | (State} | (Zip Code} | | 03/04/2009 | | 3381 | | | | | | (PCAOB Registration Number, if applicable) | | rte of Registration with PCAOB)(;f appUcable) | FOR OFFICIAL USE ONLY | | I | 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-S(e}{l}{ii}, if applicable. **Persons who are to respond to the collection of information contained in this form are not required to respond…Read the full text as markdown