Full text of WHARTON MIDMARKET SECURITIES INC.'s X-17A-5 filed 2025-03-18 (period 2024-12-31). 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:<br>12 | | |-----------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|----------------------|--------------------------------------------------------------------------------------------------------------------------|--| | | ANNUAL REPORTS<br>FORM X-17A-5<br>PART Ill | | SEC FILE NUMBER | | | | 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 01 /01 /24 | MM/DD/VY | AND ENDING 12/31 /24 | MM/DD/VY | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME oF FIRM: Wharton Midmarket Securities Inc. | | | | | TYPE OF REGISTRANT {check all applicable boxes):<br>[!] Broker-dealer | □ Security-based swap dealer<br>□ 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 | 203 606 9696 | | paul@whartonmidmarketadvlsosrs.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 | FL | 32751 | | | (Address) | (City) | (State) | (Zip Code) | | | JULY 28, 2004 | | 1839 | | | | (rte of Registration with PCAOB)(lf applicable) | FOR OFFICIAL USE ONLY | | (PCAOB Registration Number, ii applicable) | | accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR **240.17a-S(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}------------------------------------…Read the full text as markdown