Full text of HENNION & WALSH, INC.'s X-17A-5 filed 2023-03-14 (period 2022-12-31). 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 X-17A-5 PART III** | OMB APPROVAL | | | |--------------------------|--|--| | OMB 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 AND ENDING 01/01/22 12/31/22 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 | | | | | | | Wendy Wurst | | (973) 299-8989 | | wwurst@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) | (Zip Code) | | | 10/08/03 | | 100 | | | | (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable) #### **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 240.17a-5(e)(1)(ii), if applicable. **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 OMB control number.** {1}------------------------------------------------ ![](_page_1_Picture_8.jp…Read the full text as markdown