Full text of WHARTON MIDMARKET SECURITIES INC.'s X-17A-5 filed 2023-04-04 (period 2022-12-31). 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** **0MB APPROVAL** 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill **FACING PAGE** | SEC FILE NUMBER | |-----------------| | 8-69265 | **Information Required Pursuant to** Rules **17a-S, 17a-12, and 18a-7** under **the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **1/1/2022** MM/DD/VY AND ENDING **12/31/2022** MM/0D/YY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: Wharton Midmarket Securities Inc TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | 27 Brook Road | | | | | | |------------------------------------------------------------------------------------|--|-------------------------------|-----------------|--------------------------------------------|--| | (No. and Street) | | | | | | | Woodbridge | | CT | | 06525 | | | (City) | | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Paul Harrigan<br>203 606 9696 | | | | paul@whartonmidmarketsecurities.com | | | {Name) | | (Area Code -Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | OHAB AND COMPANY, PA<br>(Name - if individual, state last, first, and middle name) | | | | | | | 100 E SYBELIAAVE, SUITE 130 MAITLAND | | | FL | 32751 | | | (Address) | | (City) | (State) | (Zip Code) | | | JULY 28, 2004 | | | 1839 | | | | (Date of Registration with PCAOB)(if applicable) | | | | (PCAOB Re~istration Number, if applicable) | | | | | FOR OFFICIAL USE ONLY | | | | • Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(l)(ii), if applicable. **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 0MB control number.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, Paul Har…Read the full text as markdown