Full text of WHARTON MIDMARKET SECURITIES INC.'s X-17A-5 filed 2026-02-12 (period 2025-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 **ANNUAL REPORTS FORM X-17A-5 PART** Ill FACING PAGE 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING 01/01/25 MM/DD/YY AND ENDING 12131125 MM/DD/YY A. REGISTRANT IDENTIFICATION NAME oF FIRM: Wharton Midmarket Securities Inc TYPE OF REGISTRANT (check all applicable boxes): GJ Broker-dealer D Security-based swap dealer D Major security-based swap participant □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 27 Brook Road (No. and Street) Woodbridge CT (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 06525 (Zip Code) Paul Harrigan 203 606 9696 paul@whartonmidmarketadvisors.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 **(Name** - if individual, state last, first, and middle name) 100 E Sybella Avenue Maitland FL (Address) (City) (State) July 28, 2004 1839 32751 (Zip Code) (Date of Registration with PCAOB)(if applicable) (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 accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.l 7a-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 Harrigan | swear (or affirm) that, to the best of my knowledge and belief, the | | |-----------------------------------------------------------------------------|-----------------------------------------------------------------------------------|-------| | financial report pertaining to the firm of Wharton M1dmarket Securities Inc | | as of | | _D __ ec_e_m_b_e_r_3_1 _______ _, 2~ | is true and correct. I further swear (or affirm) that neither the company nor any | | | | | | partner, officer, d…Read the full text as markdown