Full text of HERNDON PLANT OAKLEY, LTD.'s X-17A-5 filed 2020-02-25 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITEDSTATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549** | OMB APPROVAL | | | |--------------------------|----------------|--| | OMB Number: | 3235-0123 | | | Expires: | August 31,2020 | | | Estimated average burden | | | | hours per response | 12.00 | | # **ANNUAL AUDITED REPORT FORM X-17A-5 PART III** SEC FILE NUMBER s-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** | MM/DD/YY<br>REGISTRANT<br>IDENTIFICATION<br>NAME OF BROKER-DEALER: Herndon<br>Plant<br>Oakley<br>Ltd | AND ENDING | MM/DD/YY | |------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS:<br>(Do not<br>use P.O. Box No.) | | FIRM I.D.<br>NO. | | South | | | | (No. and Street) | | | | TX | | | | (State) | | | | | | | | | | (Area Code -Telephone<br>Number) | | | | | | (Name -if | | | | Celeste | TX | 75423 | | (City) | (State) | (Zip Code) | | | | | | | | | | | | | | or any of its possessions. | | | | | | | | | | | | | | | | | 2200<br>ACCOUNTANT<br>whose opinion is contained<br>in United States<br>USE<br>OFFICIAL<br>ONLY<br>FOR | 78401<br>(Zip Code)<br>OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>361-888-7611<br>IDENTIFICATION<br>in this Report*<br>individual, state last, first, middle name) | *\*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 Section 240.17a-5(e)(2)* **Potential persons who are to respond to the collection of information contained in thisform are not required to respond** SEC <sup>1410</sup> **unless the form displays <sup>a</sup> currently valid OMB controlnumber.** {1}------------------------------------------------ ## **OATH OR AFFIRMATION** | Russell Brent Herndon<br>I, | ,<br>swear<br>(or affirm)<br>that, to the best of | |-------------------------------------------------------------------------------------------|---…Read the full text as markdown