Full text of DENNING & COMPANY LLC's X-17A-5 filed 2022-03-30 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Annual Audit Report December 31, 2021 {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | ANNUAL REPORTS | | | | | |----------------|--|--|--|--| | FORM X-17A-5 | | | | | | PART III | | | | | FACING PAGE OM8 APPROVAL OMB Number: 3235-0123 Expires: Oct. 31. 2023 Estimated average burden hours per response: 12 | SEC FILE NUMBER | |-----------------| | 8-53532 | 3438 Information Required Pursuant to Rules-17a-5, 17a-12, and-18a-7-under the Securities Exchange Act of-1934 FILING FOR THE PERIOD BEGINNING 12/31/21 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: Denning & Company LLC TYPE OF REGISTRANT (check all applicable boxes): ് Broker-dealer [] Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 150 California Street, Suite 650 (No. and Street) San Francisco California 94111 (State) (City) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Paul Denning (415) 399-3939 pdenning@denningandcompany.com (Name) (Area Code - Telephone Number) (Email Address) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Ernst Wintter & Associates LLP (Name -- if individual, state last, first, and middle name) 675 Ygnacio Valley Road, Suite A200 Walnut Creek California 94596 (Address) (City) (State) (Zip Code) February 24, 2009 (PCAOB Registration Number, if applicable) (Date of Registration with PCAOB)(if applicable) FOR OFFICIAL USE ONLY \* Claims for exemption from the requirement that the annual 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-5(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 OMB control number. {2}------------------------------------------------ ### OATH OR AFFIRMATION | | Paul Denning<br>swear (or affirm) that, to the best of my knowledge and belief, the | | | | | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------…Read the full text as markdown