Full text of HEROLD & LANTERN INVESTMENTS, INC.'s X-17A-5 filed 2024-09-18 (period 2024-06-30). 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 FORM X-17 A-5 PART** Ill **FACING PAGE** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER Information **Required Pursuant** to **Rules 17a-5, 17a-12, and 18a-7** under **the Securities Exchange** Act of 1934 FILING FOR THE PERIOD BEGINNING **07/01/2023** MM/DD/YY AND ENDING **06/30/2024** MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: Herold & Lantern Investments, Inc. TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer □ Security-based swap dealer D Check here lf respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.} 35 Pinelawn Road - Suite 101 E {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) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Weisberg, Mole', Krantz & Goldfarb, LLC. (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 **l" of Reglm,tioo w;,h PCA08){1f appllcablo) FOR OFFICIAL USE O N L V** I **PCA08** "'""'"'°" **Norn be,,** If **applicable)** I \* 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-S(e){l)(li), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form di splays a currently valid 0MB control number. {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | | ______________<br>I, _K_el_th_L_an_to_n | _ ~ swear (or affirm) that, to the best of my knowledge and belief, the | |------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------…Read the full text as markdown