Full text of HENNION & WALSH, INC.'s X-17A-5 filed 2022-03-01 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Statement of Financial Condition December 31, 2021 {1}------------------------------------------------ | UNITED STATES | 0MB APPROVAL | |------------------------------------|--------------------------| | | 0MB Number: 3235-0123 | | SECURITIES AND EXCHANGE COMMISSION | Expires: Oct. 31, 2023 | | Washington, D.C. 20549 | Estimated average burden | ## **ANNUAL REPORTS FORMX-17A-5 PART** III | 0MB Number: 3235-0123 | |--------------------------| | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response: 12 | | | SEC FILE NUMER 8- 41988 **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 /01 /21** AND ENDING **12/31** f **<sup>21</sup>**---------- MM/DD/YY MM/DD/YY ### **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: Hennion & Walsh, Inc. TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer □ Security-based swap dealer □ Major security-based swap participant □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) ## 2001 Route 46 Waterview Plaza | | (No. and Street) | | | |----------------------------------------------|---------------------------------------------------------------------------|-------------------------------|-------| | Parsippany | NJ | 07054-1018 | | | (City) | (State) | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Debbie Hoffmann | (800) 836-8240 | dhoffmann@hennionandwalsh.com | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | WithumSmith+Brown, PC | | | | | | (Name - if individual, state last, first, and middle name) | | | | 200 Jefferson Park, Suite 400 Whippany | | NJ | 07981 | (Address) (City) (State) 10/08/03 100 (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, ifapplicable) (Zip Code) #### **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. l 7a-5( e )(1 )(ii), if applicable . **Persons who are to respond to the collection of information contained in this form are not…Read the full text as markdown