Full text of HEROLD & LANTERN INVESTMENTS, INC.'s X-17A-5 filed 2022-08-29 (period 2022-06-30). 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 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER #### FORM X-17A-5 PART III 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 07/01/2021 MM/DD/YY AND ENDING 06/30/2022 MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OFFIRM: Herold & Lantern Investments, 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.) | 35 Pinelawn Road - Suite 101E | | | | | |---------------------------------------------------------------------------|------------------------------------------------------------|-------------------------|--------------------------------------------|--| | | (No. and Street) | | | | | Melville | NY | | 11746 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Keith Lanton | 631-454-2000 | keith@heroldlantern.com | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | B, ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | Weisberg, Mole, Krantz and Goldfarb LLP | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 185 Crossways Park Drive | Woodbury | NY | 11797-2040 | | | (Address) | (City) | (State) | (Zip Code) | | | 12/14/2004 | | 2107 | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAGB Registration Number, if applicable) | | | | FOR OFFICIAL USE ONLY | | | | \* Claims for exemption from the requirement that the annual 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}------------------------------------------------ #### OATH OR AFFIRMATION | Keith Lanton | | | , swear (or affirm) that, to the best of my knowledge and belief, the | | |--------------|--|--|----------------------------------------------------------…Read the full text as markdown