Full text of HERNDON PLANT OAKLEY, LTD.'s X-17A-5 filed 2023-02-13 (period 2022-12-31). 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<br>REPORTS | |-------------------| | FORM<br>X-17A-5 | | III<br>PART | | OMB APPROVAL | | | | |---------------------------|--|--|--| | OMB Number: 3235-0123 | | | | | Expires: Oct. 31, 2023 | | | | | Estimated average burden | | | | | hours per response:<br>12 | | | | | 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 01/01/2022 MM/DD/YY AND ENDING 12/31/2022 MM/DD/YY **A, REGISTRANT IDENTIFICATION** NAME OF FIRM: Herndon Plant Oakley Ltd TYPE OF REGISTRANT (check all applicable boxes): X! Broker-dealer Security-based swap dealer Major security-based swap participant Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 800 North Shoreline Blvd., STE 2200 South Corpus Christi (No. and Street) TX 78401 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Elizabeth Ann Ragan 361-888-7611 bragan@hpo.com (Name) (Area Code -Telephone Number) (Email Address) **B, ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Phillip V. George, PLLC (Name -if individual, state last, first, and middle name) **FOR OFFICIAL USE ONLY** 5179 CR 1026 Celeste TX 75423 (Address) 02/24/2009 (City) (State) 3366 (Zip Code) (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable) \* 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-5(e)(l)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are notrequired to respond unless the form displays a currently valid OMB control number. {1}------------------------------------------------ #### **OATH OR AFFIRMATION** I, RusseH Brent Herndon ,swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of Herndon Plant Oakley Ltd , as of December 31 , <sup>2</sup> 022 ( |s true and correct. I further swear (or affirm) that neither the company nor any " partner, officer, direc…Read the full text as markdown