Full text of HERITAGE FINANCIAL SYSTEMS, LLC's X-17A-5 filed 2022-02-24 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ HERITAGE FINANCIAL SYSTEMS, LLC FINANCIAL STATEMENTS DECEMBER 31, 2021 AND 2020  {1}------------------------------------------------ # **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** OMB APPROVAL OMB Number: ϯϮϯϱͲϬϭϮϯ Expires: KĐƚ͘ϯϭ͕ϮϬϮϯ Estimated average burden hours per response: # **ANNUAL REPORTS FORM X-17A-5 PART III** SEC FILE NUMBER ϴͲϲϲϲϳϬ **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 _____________________ AND ENDING ______________________ | ϬϭͬϬϭͬϮϬϮϭ | | ϭϮͬϯϭͬϮϬϮϭ | | |---------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------------------------------------------------------------------|--------------------------------------------|--| | | | MM/DD/YY | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | ,ĞƌŝƚĂŐĞ&ŝŶĂŶĐŝĂů^LJƐƚĞŵƐ͕>><br>NAME OF FIRM: _______________________________________________________________________ | | | | | | ܆ | TYPE OF REGISTRANT (check all applicable boxes):<br>܆<br>܆<br>Broker-dealer<br>Security-based swap dealer<br>Major security-based swap participant<br>܆ Check here if respondent is also an OTC derivatives dealer | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | ϱ'ƌĞĂƚsĂůůĞLJWĂƌŬǁĂLJ͕^ƵŝƚĞϯϯϰ<br>_____________________________________________________________________________________ | | | | | | | | (No. and Street) | | | | | DĂůǀĞƌŶWϭϵϯϱϱ | | | | | | | (City) | | (State) | _____________________________________________________________________________________<br>(Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | ƌŝĂŶ<͘>ƵƌĞĞŶ;ϲϭϬͿϴϴϵͲϮϬϲϲ<br>_____________________________________________________________________________________ | | | ďůƵƌĞĞŶΛŚĞƌŝƚĂŐĞĨŝŶĐŽƌƉ͘ĐŽŵ | | | (Name) | | (Area Code – Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | DŽƌŝƐŽŶŽŐĞŶ>>W<br>___________________________________________________________________________…Read the full text as markdown