Full text of HEROLD & LANTERN INVESTMENTS, INC.'s X-17A-5 filed 2023-09-18 (period 2023-06-30). 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 | OMB APPROVAL | |---------------------------| | OMB Number: 3235-0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response:<br>12 | ## ANNUAL REPORTS FORM X-17A-5 PART III SEC FILE NUMBER | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | FACING PAGE | | | | | |---------------------------------------------------------------------------------------------------------------------------------|--------------------------------|------------------------------------------------------------|-----------------|--------------------------------------------|------------|--| | FILING FOR THE PERIOD BEGINNING 07/01/2022 ______ AND ENDING 06/30/2023 | | | | | | | | | | MM/DD/YY | | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: Herold & Lantern Investments, Inc. | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Broker-dealer<br>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 | | | 11747 | | | (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) | | (Emall Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | Weisberg, Mole', Krantz & Goldfarb, LLP | | | | | | | | | | (Name - If Individual, state last, first, and middle name) | | | | | | 185 Crossways Park Dive Woodbury | | | | NY | 11797-2040 | | | (Address)<br>12/14/2004 | | (City) | | (State)<br>2107 | (Zip Code) | | | (Date of Registration with PCAOB)(If applicable) | | | | (PCAOB Registration Number, If applicable) | | | | | | FOR OFFICIAL USE ONLY | | | | | | & Chime for avamation your that the namus regories by sougend by the reports of an information public | | | | | | | n 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),…Read the full text as markdown