Full text of WESTCHESTER CAPITAL PLANNING, INC.'s X-17A-5 filed 2022-03-23 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ PUBLIC **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | 0MB APPROVAL | | |--------------------------|----| | 0MB Number: 3235-0123 | | | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response: | 12 | SEC FILE NUMBER **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 01101121 AND ENDING 12131121 --------- ---------- MM/DD/ Y Y MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: Westchester Capital Planning Inc TYPE OF REGISTRANT (check all applicable boxes): I!!! Broker-dealer D Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 21 Millbrook Lane (No. and Street) Kerhonkson NY (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING Michael Ross 800-343-3687 mross418@aol.com (Name) (Area Code -Telephone Number) **B. ACCOUNTANT IDENTIFICATION** 12446 (Email Address) INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* OHAB AND COMPANY, PA (Name - if individual, state last, first, and middle name) 100 E SYBELIA AVE, SUITE 130 **MAITLAND** FL (Address) (City) (State) JULY 28, 2004 1839 (Zip Code) 32751 (Zip Code) <sup>l</sup>'• of Registcatioo with PCAOB ){ifapplicable) **FOR OFFICIAL USE ON Ly** (PCAOB Registcatioo N,mbe,, if appHcable) I \* 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-S(e){1){ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number. {1}------------------------------------------------ ### **OATH OR AFFIRMATION** I, Michael Ross swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of Westchester Capital Planning Inc • as of December 31 2~, is true and correct. I further swear (or affirm) that neither the company nor any partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classifi…Read the full text as markdown