Full text of HEROLD & LANTERN INVESTMENTS, INC.'s X-17A-5 filed 2021-09-27 (period 2021-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED ST ATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** ### **ANNUAL AUDITED REPORT FORM X-17A-5** **PART Ill** 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response .. ... . 12.00 # SEC FILE NUMBER 8-45285 **FACING PAGE** **Information Required** of **Brokers and Dealers Pursuant to Section** 17 of **the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | ___<br>MM/DD/YY<br>A. REGISTRANT IDENTIFICATION<br>NAME OF BROKER-DEALER: Herold & Lantern Investments<br>ADDRESS OF PRINCIPAL PLACfOF }:l l.JSINESS: (Do not use P.O. Box No .)<br>(No. and Street)<br>New York<br>(State) | , Inc. | 11747<br>(Zip Code) | MM/DD/YY<br>OFFICJAL USE ONLY<br>FIRM 1.0. NO. | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | 631-454-2000 | | | | | (Area CEde - Telephone Numl?Y) | | | | | | | | | | | | | | | | | | | | | | | | | 11797-2040 | | | (State) | | (Zip Code) | | | | | | | | | | | | | | | | | | | | | | | | | | | | Weisberg, Mole, Krantz, and Goldfarb LLP<br>Woodbury | B. ACCOUNTANT IDENTIFICATION<br>INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>(Name - !/individual, state /ast,first, middle name)<br>Accountant not resident in United States or any of its possessions.<br>FOR OFFICIAL USE ONLY | New York | *\*Claims/or 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.* J *7a-5(e)(2)* > Potential 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…Read the full text as markdown