Full text of WHARTON MIDMARKET SECURITIES INC.'s X-17A-5 filed 2021-03-01 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ PUBLIC UNITED STATES SECURITIES **AND EXCHANGE COMMISSION** Washington, D.C. 20549 QMB APPROVAL MB Number. 3235-0123 Expires: Odober 31, 2023 Estimated average burden hours er res onse ..... 12.00 # **ANNUAL AUDITED REPORT FORM X-17 A-5 PART** Ill | SEC FILE NUMBER | |-----------------| | 8-69265 | 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 BEGINING | JANUARY 1, 2020 | AND ENDING | DECEMBER 31, 2020 | |------------------------------------------------------------------------------------------|-------------------------------------------------------|------------|-----------------------------| | | ----------------<br>MM/DD/ Y Y | | MM/DDNY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER DEALER: | WHARTON MIDMARKET SECURITIES, INC | | OFFICAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | FIRM ID. NO. | | | | | 27 BROOK ROAD | | | | | (No. and Street) | | | | WOODBRIDGE | CT | | 06525 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>PAUL HARRIGAN | | | 203-606-9696 | | | | | (Area Code - Telephone No.) | | | B. ACCOUNTANT DESIGNATION | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | | ORAB AND COMPANY, PA | | | | | (Name - if individual, state /ast,first, middle name) | | | | 100 E. SYBELIA A VENUE, SUITE 130, MAITLAND | | FLORIDA | 32751 | | (Address and City) | | (State) | (Zip Code) | | CHECK ONE: | | | | | lil Certified Public Accountant | | | | | D Public Accountant | | | | | D Accountant not resident in United States or any of its possessions | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual audit be covered by the opinion of an independent public accountant must be supported by a statement of/acts 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 required to respond unless** the form displays a current valid 0MB control number. **SEC 1410 (11-05)** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, | | PAUL HARRIGAN | | , swear (or affirm) that, to the | |--------------------|---…Read the full text as markdown