Full text of WHARTON MIDMARKET SECURITIES INC.'s X-17A-5 filed 2024-02-29 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | PUBLIC | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | 0MB APPROVAL<br>0MB Number: 3235-0123<br>Expires: Nov. 30, 2026<br>Estimated average burden<br>hours per response: 12 | | |---------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------|-----------------------------------------------------------------------------------------------------------------------|--| | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | FORM X-17A-5 | | | | | | PART Ill | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | FILING FOR THE PERIOD BEGINNING O 1/01/2023 | | | AND ENDING 12/31/2023 | | | | MM/DD/VY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME oF FIRM: Wharton Midmarket Securities Inc | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>[!] Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | D Security-based swap 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 | 203-606-9696 | | paul@whartonmidmarketadvisors.com | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | OHAB AND COMPANY, PA | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 100 E SYBELIAAVENUE SUITE 130 | MAITLAND | | 32751<br>FL | | | (Address)<br>JULY 28, 2004 | (City) | (State)<br>1839 | (Zip Code) | | | (rte of Registration with PCAOB)(if applicable} | | | I<br>(PCAOB Registration 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<br>accountant must be supported by a state…Read the full text as markdown