Full text of HERNDON PLANT OAKLEY, LTD.'s X-17A-5 filed 2025-02-27 (period 2024-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | UNITS) STATES<br>SECURITIES AND EXCHANGE COMMISSION | OMB APPROVAL | |-----------------------------------------------------|--------------------------| | | OMB Number:3235-0123 | | | Expires:Nov. 30,2026 | | Washington,D.C. 20549 | Estimated average burden | | OMB Number:3235-0123 | | |---------------------------|--| | Expires:Nov. 30,2026 | | | Estimated average burden | | | 12<br>hours per response: | | | | | | SEC FILE NUMBER | | ### **ANNUAL REPORTS FORMX-17A-5 PART III** 8-50912 **FACING PAGE Information Required Pursuant to Rules 17a-5,17a-12, and 18a-7 under the Securities Exchange Act of <sup>1934</sup>** 01/01/2024 12/31/2024 **FILING FOR THE PERIOD BEGINNING AND ENDING** MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** Herndon Plant Oakley Ltd **NAME OF FIRM: TYPE OF REGISTRANT (check all applicable boxes): C3 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 <sup>a</sup> P.O. box no.)** 800 North Shoreline Blvd., STE 2200 South (No.and Street) Corpus Christi TX 78401 (State) (Zip Code) (City) **PERSON TO CONTACT WITH REGARD TO THIS FILING** Elizabeth Ann Ragan 361-888-7611 bragan@hpo.com (Name) (Area Code -Tetphone 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) 5179 CR 1026 Celeste TX 75423 (Address (State) (Zip Code) ) (City) 02/24/2009 3366 (Date of Registration with PCAOB) (PCAOB Registration Number,if applicable) (if applicable) **FOR OFFICIAL USE ONLY** \*Claims for exemption fromthe requirement that the annualreports be covered by the reports of an independent public accountant must be supported by <sup>a</sup> statement of facts and:ircumstances relied on as the basis of the exemption. See <sup>17</sup> CFR 240.17a-5(e)(l)(ii),if applicable. Persons who are to respond tothe collectionof information containedinthis form are not requiredto respond unless the form displays <sup>a</sup> currently valid OMB control number. {1}------------------------------------------------ #### OATH OR AFFIRMATION Russell Brent Herndon , swear (or affirm) that,to the best of my knowledge and belief, the , as of ,<sup>2</sup> <sup>024</sup> .is true and correct. <sup>I</sup> further swear (or affirm) th…Read the full text as markdown