Full text of DENNING & COMPANY LLC's X-17A-5 filed 2024-03-27 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## Annual Audit Report December 31, 2023 {1}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL REPORTS FORM X-17A-5** | 0 MB APPROVAL | | |--------------------------|----| | 0MB Number: 3235-0123 | | | hpires: Nov. 30, 2026 | | | Estimated average burden | | | hours per response: | 12 | SEC FILE NUMBER 8-53532 | | PART Ill | | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|-------------------------------------------------------| | | 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>0_1/_0_1_/2_3 | __<br>AND ENDING | __<br>___<br>_<br>1_2/_3_1_/_23 | | | MM/DD/VY | | MM/DD/ YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: Denning & Company LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>M Broker-dealer<br>D Security-based swap dealer<br>0 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.) | | | | | 150 California Street, Suite 650 | | | | | | {No. and Street) | | | | | | | | | San Francisco<br>{City) | California<br>(State) | | 94111<br>(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*<br>Ernst Wintter & Associates LLP | | | | | | (Name - if individual, state last, first, and middle name) | | | | 675 Ygnacio Valley Blvd, Suite A200 | Walnut Creek | California | 94596 | | (Address) | (City) | (State) | (Zip Code) | | February 24, 2009 | | | | | {late of Regist,atioo with PCAOB)iif applicabl•<br>J | | | 3438<br>{PCAOB Reglst,atloa N,mbe,, if applicable I I | | • Claims for exemption from t he requirement t hat t he annual reports be covered by the reports of an independent public | FOR OFFICIAL USE ONLY | | | accountant must be supported by a statement…Read the full text as markdown