Full text of HENNION & WALSH, INC.'s X-17A-5 filed 2020-03-05 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Statement of Financial Condition (With Report of Independent Registered Public Accounting Firm Thereon) December 31, 2019 {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response . . . 12.00 # **ANNUAL AUDITED REPORT** SEC FILE NUMBER **FORM X-17A-5** 8-41988 **PART III** # **FACING PAGE** **Information Required 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 | | 01/01/19<br>MM/DD/YY | AND ENDING | 12/31/19<br>MM/DD/YY | |--------------------------------------------------------------------------|-------------------------------|-----------------------|------------------------------------------------|-----------------------------------------| | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER -<br>DEALER: | | | | | | Hennion & Walsh, Inc. | | | | OFFICIAL USE ONLY<br>__________________ | | | | | | FIRM ID. NO. | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | 2001 Route 46 Waterview Plaza | | | | | | (No. and Street) | | | | | Parsippany<br>NJ | | | | 07054-1018<br>(Zip Code) | | | (City)<br>(State) | | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | Debbie Hoffmann | | | | (800) 836-8240 | | | | | | (Area Code -<br>Telephone No.) | | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | WithumSmith + Brown, PC | | | | | | (Name - | | if individual, state last, first, middle name) | | | 200 Jefferson Park, Suite 400 | Whippany | | NJ | 07981 | | (Address) | (City) | | (State) | (Zip Code) | | CHECK ONE: | | | | | | X<br>Certified Public Accountant | | | | | | Public Accountant | | | | | | 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 240.17a-5(e)(2).*SEC 1410 (3-91) {2}------------------------------------------------ # **TABLE OF CONTENTS** #### **T…Read the full text as markdown