Full text of HEROLD & LANTERN INVESTMENTS, INC.'s X-17A-5/A filed 2021-10-01 (period 2021-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STA TES | | | | |--------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------|-------------------------------------------------------------------------------------------------------|--| | SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | | 0MB APPROVAL<br>0MB Number:<br>3235-0123<br>Expires:<br>October 31 , 2023<br>Estimated average burden | | | | ANNUAL AUDITED REPORT | | hours per response 12.00 | | | | FORM X-17 A-5 | | | | | | PART Ill | | SEC FILE NUMBER<br>8-45285 | | | | FACING PAGE<br>Information Required of Brokers and Dealers Pursuant to Section 17 of the<br>Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | | | | | REPORT FOR THE PERIOD BEGINNING _ | ___<br>_ 0_7_/0_1_/_2_0_2_0 _ | __ 0_6_/3_0_/_2_0_2_1 _<br>AND ENDING | _<br>_ _ | | | | MM/DD/YY | | MM/DDIYY | | | | A~-REGI~TRANT IDENTIFICATION | '. | ., | | | ,! | NAME OF BROKER-DEALER: Herold & Lantern Investments Inc. | | . OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF 'sUSINESS | : (Do not use P.O. Box No.) | | FIRM 1.D. NO. | | | 35 Pine lawn Road Suite 101 E | | | | | | | (No. and Street) | | | | | Melville | New York | 11747 | | | | (City) | (State) | (Zip Code) | | | | Keilh Lanton, President | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT. | 631-454'2000 | | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | Weisberg, Mole, Krantz, and Goldfarb LL~ | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | (Name - if individual, state last, first, middle name) | | | | | 185 Crossways Park Drive | Woodbury | New York | 11797-2040 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | ✓ !_certified Public Accountant | | | | | | ub li c Accountant | | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | | | | | *\*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 Sec/ion 240.J7a-5(e){2)* > **Potential persons who are to respond to the collection of information contained in this…Read the full text as markdown