Full text of HERNDON PLANT OAKLEY, LTD.'s X-17A-5 filed 2022-02-15 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED** OMB APPROVAL **STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | 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 | | |-----------------|--| | 8-50912 | | **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING | 01/01/2021 | AND ENDING | 12/31/2021 | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------|------------------|-----------------|-------------| | | MM/DD/YY | | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | Herndon<br>Plant<br>NAME OF FIRM: | Oakley<br>Ltd | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>B<br>Security-based<br>Major<br>Broker-dealer<br>swap dealer<br>security-based swap<br>participant<br>Check here if respondent is also<br>an OTC derivatives dealer | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: | use a P.O.<br>(Do not | box no.) | | | | 800<br>North<br>Shoreline<br>Blvd.,<br>STE | 2200<br>South | | | | | (No. and Street) | | | | | | Corpus<br>Christi | TX | | | 78401 | | (City) | (State) | | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Ragan<br>361-888-7611<br>Elizabeth<br>Ann<br>bragan@hpo.com | | | | | | (Name) | (Area Code -Telephone | Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports<br>in<br>this<br>filing*<br>are contained<br>Phillip<br>George,<br>PLLC<br>V. | | | | | | (Name -if | individual,<br>state last,first, | and middle name) | | | | 5179<br>1026<br>CR | Celeste | | TX | 75423 | | (Address) | (City) | | (State) | (Zip Code) | | 02/24/2009 | | 3366 | | | | | (PCAOB Registration Number,if<br>(Date of Registration with PCAOB)(if applicable) | | | applicable) | | | FOR OFFICIAL USE ONLY | | | | \* 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…Read the full text as markdown