Full text of DENNING & COMPANY LLC's X-17A-5 filed 2023-03-30 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ • Annual Audit Report December 31, 2022 {1}------------------------------------------------ **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:<br>12 | | | | | | | | | # **ANNUAL REPORTS FORM X-17A-5 PART Ill** SEC FILE NUMBER **8-53532** **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 | ___<br>___<br>0_1_/0_1_/2_2 | AND ENDING | __<br>___<br>_<br>1_2/_3_1_/2_2 | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|-------------------------------------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | Denning & Company LLC<br>NAME OF FIRM: | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>• Security-based swap dealer<br>M Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | | • Major security-based swap participant | | | 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 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Paul Denning<br>(Name) | (415) 399-3939<br>(Area Code - Telephone Number) | (Email Address) | pdenning@denningandcompany.com | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>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 | | | 3438 | | l"<br>of R,gistrntio, with PCAOBJ(lf appllcabl,) | | | I<br>(PCAOB R,glstrntio, N,mbec, If applicabl,) | | | FOR OFFICIAL USE ONLY | | | | • Claims for exemption from the requirement that the annual…Read the full text as markdown