Full text of HERNDON PLANT OAKLEY, LTD.'s X-17A-5 filed 2024-02-12 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ### OMB APPROVAL **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, <sup>D</sup>.C. <sup>20549</sup>** ! OMB Number:3235-0123 Expires:Nov. 30, 2026 Estimated average burden > SEC FILE NUMBER 8-50912 hours per response: 12 - *%* I i # **ANNUAL REPORTS FORM X-17A-5 PART III** **FACING PAGE** **Information Required Pursuant to Rules <sup>17</sup>a-5,17a-12, and <sup>18</sup>a-7 under the Securities Exchange Act of <sup>1934</sup>** | FILING FOR THE PERIOD BEGINNING | 01/01/2023 | AND ENDING | 12/31/2023 | | |---------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------|---------------------------------------|-----------------|---------------------| | | 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>B3<br>Broker-dealer<br>Check here if respondent is also an OTC derivatives dealer | Security-based swap dealer | Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | Shoreline Blvd.,<br>STE<br>800 North | 2200 South | | | | | | (No. and Street) | | | | | Corpus Christi | TX | | | 78401 | | (City) | (State) | | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Elizabeth<br>Ann<br>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* | | | | | | George, PLLC<br>Phillip<br>V. | (Name -if individual,state last,first, and middle name) | | | | | | | | | | | 5179 CR 1026<br>(Address) | Celeste<br>(City) | | TX<br>(State) | 75423<br>(Zip Code) | | | | 3366 | | | | 02/24/2009<br>(Date of Registration with PCAOB)(if applicable) | | | | | | (PCAOB Registration Number, if applicable)<br>FOR OFFICIAL USE ONLY | | | | | | Claims for exemption from the requirement that the annual reports be covered by the reports of an Independent public<br>* | | | | | accountant must be supported by <sup>a</sup> statement of facts and circumstances relied onas the basis of the exemption. See <sup>17</sup> CFR 240.17a-5(e)(l)(ii),if applicable. Persons who are to respond to the collection of information conta…Read the full text as markdown