Full text of HENNION & WALSH, INC.'s X-17A-5 filed 2025-03-25 (period 2024-12-31). 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: Nov. 30, 2026 | | 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 01/01/24 \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ MM/DD/Y Y 12/31/24 # A. REGISTRANT IDENTIFICATION # name of firm: Hennion & Walsh, Inc. TYPE OF REGISTRANT (check all applicable boxes): | | Broker-dealer □ 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<br>(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) | | | | | | | |-----------|--|--|--|--|--|--| | | | | | | | | | | 10/08/03 | | |--|----------|--| (City) (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable) (Zip Code) (State) 100 ## 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 re…Read the full text as markdown