Full text of HERNDON PLANT OAKLEY, LTD.'s X-17A-5 filed 2019-02-19 (period 2018-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITEDSTATES SECURITIES ANDEXCHANGE COMMISSION Washington, D.C. 20549 # ANNUAL AUDITED REPORT FORM X-17A-5 PART III | | OMB APPROVAL | |--------------------------|----------------------------| | OMB Number: | 3235-0123 | | Expires: | August 31, 2020 | | Estimated average burden | | | | hours per response 12.00 | # SEC FILE NUMBER 8-50912 FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING 01/01/2018 | | AND ENDING 12/31/2018 | | |----------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------|-----------------------|--------------------------------| | | MM/DD/Y Y | | MM/DD/Y Y | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: Herndon Plant Oakley Ltd<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | OFFICIAL USE ONLY | | | | | FIRM I.D. NO. | | 800 North Shoreline Blvd., STE 2200 South | | | | | | (No. and Street) | | | | Corpus Christi | TX | | 78401 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Elizabeth Ann Ragan | | | 361-888-7611 | | | | | (Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Reporte<br>Phillip V. George, PLLC | | | | | | (Name - if individual, state last, first. middle name) | | | | 5179 CR 1026 | Celeste | IX | 75423 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE:<br>Certified Public Accountant<br>Public Accountant | Accountant not resident in United States or any of its possessions. | | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(c)(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 valid OMB contro SEC 1410 (06-02) {1}------------------------------------------------ # OATH OR AFFIRMATION | J, _R_u_s_s_ell__B_re_n_t_H_e_m_d_o_n | ______________________ | , swear (or affirm) that. to the best of | |---------------------------------------|------------------------|--------------------…Read the full text as markdown