Full text of HENLEY & COMPANY LLC's X-17A-5 filed 2024-02-28 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ FINANCIAL STATEMENT AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM DECEMBER 31, 2023 {1}------------------------------------------------ | SECURITIES AND EXCHANGE COMMISSION | | | OMB APPROVAL | | | | |-------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------|-----------------------------------------|-------------------------------------------------------------------------------|--|--|--| | Washington, D.C. 20549 | | | OMB Number:<br>3235-0123<br>Expires: Nov 30, 2026<br>Estimated average burden | | | | | | | | hours per response<br>12.00 | | | | | | ANNUAL REPORTS | | | | | | | FORM X-17A-5<br>PART III | | | SEC FILE NUMBER | | | | | | | | 8-66463 | | | | | REPORT FOR THE PERIOD BEGINNING 001/01/2023 ANDENDING | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | 12/31/2023 | | | | | | MM/DD/YY | | | MM/DD/YY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF FIRM: Henley & Company LLC | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | | | & Broker-dealer<br>[ ] Check he re if respondent is also an OTC derivatives dealer | LSecurity-based swap dealer | L Major security-based swap participant | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>1290 RXR Plaza | | | | | | | | | (No. and Street) | | | | | | | Uniondale | NY | | 11556 | | | | | (City)<br>PERSON TO CONTACT WITH REGARD TO THIS FILING | (State) | | (Zip Code) | | | | | Francis Gemino | 516-794-5520 | | | | | | | (Name) | (Area Code - Telephone Number) | | (Emall Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | | De Marco Sciaccotta Wilkens & Dunleavy, LLP | | | | | | | | | (Name - if individual, state last, first, middle name) | | | | | | | 20646 Abbey Woods Ct N, Suite 201 | Frankfort | 11 | 60423 | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | 12/21/2010<br>(Date of Registration with PCAOB)(if a pplicable) | | | 5376<br>(PCAOB Registration Number, if applicable) | | | | | | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | UNITED STATES \* Claims for exemption from the requirement that the annual reports of an indepe…Read the full text as markdown