Full text of WESTCHESTER CAPITAL PLANNING, INC.'s X-17A-5 filed 2023-03-29 (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 REPORTS FORM X-17A-S PART** Ill | 0MB APPROV/\L | | |---------------------------|--| | 0MB Number. 3235-0123 | | | Expires: Oct. 31, 2023 | | | Estin ated average burden | | | 12<br>hours per response: | | | SEC FILE NUMOER | | **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 o, / 01lgo~(/2<br>1<br>M/00/YY | | AND ENDING -12/ ~ / )/Jo(J~<br>MM/00/YY | | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------|-----------------------------------------|---| | A. REGISTRANT IDENTIFICATION | | | | | Wd: CYJe:s-lee.<br>NAME oF FIRM: | Plv>irw1-vi0 , .TvC 1<br>J | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>~ Broker-dealer<br>□ Security-based swap dealer<br>0 Check here if respondent is also an OTC derivatives dealer | D Major security-based swa | p participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | (No. and Street) | | | | | f(e(~ o "'ksoAI , ;VY. 1 'J-4 '+ G<br>7 | | | | | (City)<br>(State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | [<ffcv') ~Lf:3-<br>l<oSS<br>(Area Code - Telephone Number) | ~€87<br>(Email Address) | ;v1 RoSS 4,,g@.Aa-; Co /1-1 | | | 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 | | | (City)<br>(Address) | (State) | (Zrp Code) | | | JULY 28, 2004 | 1839 | | | | | | [PCAOB R,gima<ioo Nombe,, if appBrable[ | I | | 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 a statement of facts and circumstances relied on as the basis of…Read the full text as markdown