Full text of WESTCHESTER CAPITAL PLANNING, INC.'s X-17A-5/A filed 2022-04-04 (period 2021-12-31). 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** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17 A-5 PART** Ill SEC FILE NUMBER | | | 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 | ---------<br>MM/DD/ Y Y | AND ENDING 12131121 | | ----------<br>MM/DD/VY | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: Westchester Capital Planning Inc | | | | | | ~ Broker-dealer | TYPE OF REGISTRANT (check all applicable boxes):<br>D Security-based swap dealer<br>D Check here if respondent is also an OTC derivatives dealer | | D Major security-based swap participant | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 21 Millbrook Lane | | | | | | | | | (No. and Street) | | | | | | Kerhonkson | NY | 12446 | | | | | (City) | (State) | | | (Zip Code) | | | | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | 800-343-3687 | | | | | | | | mross418@aol.com<br>(Area Code -Telephone Number) | | (Email Address) | | | Michael Ross<br>(Name) | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | | | 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 | 32751 | | (Address)<br>JULY 28, 2004 | | (City) | 1839 | (State) | (Zip Code) | \* 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}----------…Read the full text as markdown