# WHITE OAK MERCHANT PARTNERS LLC X-17A-5 (2021-09-29) — Broker-dealer annual report

- Company: WHITE OAK MERCHANT PARTNERS LLC
- Form: X-17A-5
- Filed: 2021-09-29
- Period: 2021-06-30
- Accession: 0001356558-21-000001
- CIK: 1356558
- File #: 8-67283
- Material weakness: No
- Auditor: Spicer Jeffries LLP
- Auditor location: Denver, CO
- Contact: Andre Hakkak
- Phone: 415-644-4117
- Website: spicerjeffries.com
- Signed by: Andre Hakkak (Chief Executive Officer)

Original filing: https://www.sec.gov/Archives/edgar/data/1356558/000135655821000001/2021_WOMPAudit_PUBLIC1.pdf

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UNITEDSTATES SECURITIES ANDEXCHANGE COMMISSION Washington, D.C. 20549

# ANNUAL AUDITED REPORT FORM X-17A-5 PART III

|                          | OMB APPROVAL |                           |  |  |
|--------------------------|--------------|---------------------------|--|--|
| OMB Number:              |              | 3235-0123                 |  |  |
|                          |              | Expires: October 31, 2023 |  |  |
| Estimated average burden |              |                           |  |  |
|                          |              | hours per response  12.00 |  |  |

| SEC FILE NUMBER |  |
|-----------------|--|
| 8-67283         |  |

FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder

| REPORT FOR THE PERIOD BEGINNING 07/01/2020                               |                                                        | AND ENDING 06/30/2021 |                                                  |  |  |
|--------------------------------------------------------------------------|--------------------------------------------------------|-----------------------|--------------------------------------------------|--|--|
|                                                                          | MM/DD/YY                                               |                       | MM/DD/YY                                         |  |  |
|                                                                          | A. REGISTRANT IDENTIFICATION                           |                       |                                                  |  |  |
| NAME OF BROKER-DEALER: White Oak Merchant Partners, LLC                  |                                                        |                       | OFFICIAL USE ONLY                                |  |  |
| ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)        |                                                        |                       | FIRM I.D. NO.                                    |  |  |
| 3 Embarcadero Center, Suite 540                                          |                                                        |                       |                                                  |  |  |
|                                                                          | (No. and Street)                                       |                       |                                                  |  |  |
| San Francisco                                                            | CA                                                     |                       | 94111                                            |  |  |
| (City)                                                                   | (State)                                                |                       | (Zip Code)                                       |  |  |
| NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT  |                                                        |                       |                                                  |  |  |
| Andre Hakkak                                                             |                                                        |                       | (415) 644-4117<br>(Area Code - Telephone Number) |  |  |
|                                                                          | B. ACCOUNTANT IDENTIFICATION                           |                       |                                                  |  |  |
|                                                                          |                                                        |                       |                                                  |  |  |
| INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* |                                                        |                       |                                                  |  |  |
| Spicer Jeffries, LLP                                                     |                                                        |                       |                                                  |  |  |
|                                                                          | (Name - if individual, state last, first, middle name) |                       |                                                  |  |  |
| 4601 DTC Blvd, Suite 700                                                 | Denver                                                 | CO                    | 80237                                            |  |  |
| (Address)                                                                | (City)                                                 | (State)               | (Zip Code)                                       |  |  |
| CHECK ONE:                                                               |                                                        |                       |                                                  |  |  |
| Certified Public Accountant                                              |                                                        |                       |                                                  |  |  |
| Public Accountant                                                        |                                                        |                       |                                                  |  |  |
| Accountant not resident in United States or any of its possessions.      |                                                        |                       |                                                  |  |  |
|                                                                          |                                                        |                       |                                                  |  |  |
|                                                                          | FOR OFFICIAL USE ONLY                                  |                       |                                                  |  |  |
|                                                                          |                                                        |                       |                                                  |  |  |
|                                                                          |                                                        |                       |                                                  |  |  |

\* Claims for exemption from the requirement that the annual report be covered by the opinion of an independent ma must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240. 17a-5(e)(2)

> Potential 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.

SEC 1410 (11-05)

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### OATH OR AFFIRMATION

| my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of<br>White Oak Merchant Partners, LLC<br>are true and correct. I further swear (or affirm) are true and correct. I further swear (or affirm) that<br>of June 30<br>neither the company nor any partner, principal officer or director has any proprietary interest in any account<br>classified solely as that of a customer, except as follows:<br>JENNIFER MOLINA<br>Notary Public - State of Florida<br>Signature<br>Commission # HH 10118<br>My Comm. Expires Jul 13, 2024<br>Bonded through National Notary Assn.<br>Chief Executive Offier<br>Title<br>Notary Public<br>This report ** contains (check all applicable boxes):<br>V (a) Facing Page.<br>> (b) Statement of Financial Condition.<br>(c) Statement of Income (Loss) or, if there is other comprehensive in the period(s) presented, a Statement<br>of Comprehensive Income (as defined in §210.1-02 of Regulation S-X).<br>(d) Statement of Changes in Financial Condition.<br>(e) Statement of Changes in Stockholders' Equity or Partners' or Sole Proprietors' Capital.<br>(f) Statement of Changes in Liabilities Subordinated to Claims of Creditors.<br>> (g) Computation of Net Capital.<br>(h) Computation for Determination of Reserve Requirements Pursuant to Rule 15c3-3.<br>(i) Information Relating to the Possession or Control Requirements Under Rule 15c3-3.<br>(i) A Reconciliation, including appropriate explanation of Net Capital Under Rule 15c3-1 and the<br>Computation for Determination of the Reserve Requirements Under Exhibit A of Rule 15c3-3.<br>(k) A Reconciliation between the audited Statements of Financial Condition with respect to methods of<br>consolidation.<br>(I) An Oath or Affirmation. | 1 Andre Hakkak                              |  | The best of a swear (or affirm) that, to the best of |
|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------|--|------------------------------------------------------|
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\*\* For conditions of confidential treatment of certain portions of this filing, see section 240.17a-5(e)(3).

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# WHITE OAK MERCHANT PARTNERS, LLC STATEMENT OF FINANCIAL CONDITION TOGETHER WITH REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

JUNE 30, 2021

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![](_page_3_Picture_0.jpeg)

4601 DTC BOULEVARD • SUITE 700 DENVER, COLORADO 80237 TELEPHONE: (303) 753-1959 FAX: (303) 753-0338 www.spicerjeffries.com

# **REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM**

To the Member of White Oak Merchant Partners, LLC

### **Opinion on the Financial Statements**

We have audited the accompanying statement of financial condition of White Oak Merchant Partners, LLC (the "Company") as of June 30, 2021, and the related notes (collectively referred to as the "financial statements"). In our opinion, the financial statements present fairly, in all material respects, the financial position of the Company as of June 30, 2021 in conformity with accounting principles generally accepted in the United States of America.

### **Basis for Opinion**

These financial statements are the responsibility of the Company's management. Our responsibility is to express an opinion on the Company's financial statements based on our audit. We are a public accounting firm registered with the Public Company Accounting Oversight Board (United States) (PCAOB) and are required to be independent with respect to the Company in accordance with the U.S. federal securities laws and the applicable rules and regulations of the Securities and Exchange Commission and the PCAOB.

We conducted our audit in accordance with the standards of the PCAOB. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement, whether due to error or fraud. Our audit included performing procedures to assess the risks of material misstatement of the financial statements, whether due to error or fraud, and performing procedures that respond to those risks. Such procedures included examining, on a test basis, evidence regarding the amounts and disclosures in the financial statements. Our audit also included evaluating the accounting principles used and significant estimates made by management, as well as evaluating the overall presentation of the financial statements. We believe that our audit provides a reasonable basis for our opinion.

We have served as White Oak Merchant Partners, LLC's auditor since 2019.

Denver, Colorado August 26, 2021

![](_page_3_Picture_12.jpeg)

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# WHITE OAK MERCHANT PARTNERS, LLC Statement of Financial Condition JUNE 30, 2021

| Assets                                |   |        |
|---------------------------------------|---|--------|
| Cash                                  | S | 37,930 |
| 0Prepaid Expenses                     |   | 2,885  |
| Total assets                          | S | 40,815 |
| Liabilities and Member's Equity       |   |        |
| Accounts payable and accrued expenses | S | 16,154 |
| Member's equity                       |   | 24,661 |
| Total liabilities and member's equity | S | 40,815 |

See Accompanying Notes to Financial Statements

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