Full text of DENNING & COMPANY LLC's X-17A-5 filed 2021-03-18 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Annual Audit Report December 31, 2020 {1}------------------------------------------------ **UNITED STA TES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response ............ 12.00 ### **ANNUAL AUDITED REPORT FORM X-17 A-5 PART** Ill | SEC FILE NUMBER | | |-----------------|--| | | | | 8- 53532 | | | | | **FACING PAGE Information Required of Brokers and Dealers Pursuant** to **Section** 17 **of the** ----------------.,;J- **ecu.rities-Excl1ange\_Act\_of\_1.9.14\_and\_Rule\_l~5-Th.erenru.L~-------------'-** | REPOR T FOR THE PERIOD BEGINNING | ____<br>~0=l/=0-=-l/=2=0 | ___<br>AND ENDING, | ___<br>----""12""'/3"--'1"-'/2=0'----- | | |------------------------------------------------------------------------------------------------------|------------------------------------------------------|--------------------|----------------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: Denning & Company LLC | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | FIRM I.D. NO. | | | | | 150 California Street, Suite 650 | | | | | | | (No. and Street) | | | | | San F1·ancisco<br>California | | 94111 | | | | (City)<br>(State) | | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | Paul Denning | | | (415) 399-3939 | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNTANTIDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | Ernst Wintter & Associates LLP | | | | | | | (Name-ifi11divid11al, state last,firsl, middle name) | | | | | 675 Ygnacio Valley Road, Suite A200 | Walnut Creek | California | 94596 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | | | | | | | | | | | | | | | | | | | Public Accountant | | | | | | § Certified Public Accountant<br>Accountant not resident in United States or any of its possessions. | | | | | *\*Claims for exemptionji·om the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(e)(2)* > **Potential persons who are to respond to the collection of information contained…Read the full text as markdown