Full text of EMPIRE STATE FINANCIAL, INC.'s X-17A-5 filed 2024-05-07 (period 2023-12-31). 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** | 0MB APPROVAL | |--------------------------| | 0MB Number: 3235-0123 | | Expires: Nov. 30, 2026 | | Estimated average burden | | hours per response: 12 | t SEC FILE NUMBER 8-16309 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill **FACING PAGE** **Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** AND ENDING **12/31/2023** FILING FOR THE PERIOD BEGINNING **O 1/01 /23** MM/0D/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: EMPIRE STATE FINANCIAL, INC. TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer D Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 20 W. PARK AVENUE, SUITE 207 | | (No. and Street) | | | | | |----------------------------------------------|---------------------------------------------------------------------------|-----------------|--------------------------------------------|--|--| | LONG BEACH | NY | | 11561<br>(Zip Code) | | | | (City) | (State) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | BRYAN GLASS | 516-442-1883 | | BGLASS@ESFI.COM | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | REID CPAS, LLP | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | 7600 JERICHO TURNPIKE | (Name - if individual, state last, first, and middle name) | | | | | | (Address) | WOODBURY<br>(City) | NY<br>(State) | 11797<br>(Zip Code) | | | | JULY1,2013<br>rt, | | 5861 | (PCAOB ,,,;~rat~" Numbec, ;t appJ;c,ble) I | | | • 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-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}------------------------------------------------ ### OATH OR AFFIRMATION | financial report pertaining to the firm of EMPIRE STATE FINANCIAL, INC.<br>, 2024 , is true and correct. I further swear (or affirm…Read the full text as markdown