Full text of HERNDON PLANT OAKLEY, LTD.'s X-17A-5 filed 2021-02-18 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL AUDITED REPORT FORM X-17A-5 PARTIII** | | 0MB APPROVAL | | |-------------|--------------|----------------------------| | 0MB Number: | | 3235-0123 | | Expires: | | October 31, 2023 | | | | Estimated average burden | | | | hours per response 12.00 | # SEC FILE NUMBER **B-50912** **FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule l 7a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING01 /01 /2020<br>AND ENDING 12/31/2020 | | | | |----------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--| | | | MM/DD/VY | | | | | | | | NAME oF BROKER-DEALER: Herndon Plant Oakley Ltd | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM 1.D. NO. | | | | | | | | (No. and Street) | | | | | TX | | | | | (State) | (Zip Code) | | | | | | 361-888-7611 | | | | | (Arca Code - Telephone Number) | | | | | | | | | | | | | | | | | | | | | | | | TX | 75423 | | | (City) | (State) | (Zip Code) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | MM/DD/VY<br>800 North Shoreline Blvd., STE 2200 South<br>Phillip V. George, PLLC<br>Celeste<br>Certified Public Accountant | A. REGISTRANT IDENTIFICATION<br>78401<br>NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>B. ACCOUNTANT IDENTIFICATION<br>INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report*<br>(Name - ifi11divid11al, state last, first, middle 11a111e)<br>Accountant not resident in United States or any of its possessions.<br>FOR OFFICIAL USE ONLY | | *must be supported by a statement of fac ts and circumstances relied on as the basis for the exemption. See Section 240. / 7a-5(e)(2)* **Potential persons who are to respond to the collection of Information contained In this form are not required…Read the full text as markdown