Full text of EMPIRE STATE FINANCIAL, INC.'s X-17A-5/A filed 2024-07-26 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ a, | | | | 0MB "°PROVAL | | | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------|--------------------------------------------|--|--|--| | | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION | | | | | | | | | Expires: Nov. 30, 2026<br>Estimated average burden<br>hours per response: 12<br>SEC FILE NUMBER | | | | | | | | | | | | | | ANNUAL REPORTS<br>FORM X-17A-5 | | | 8-16309 | | | | | | PART Ill | | | | | | | Information Required Pursuant to Rules 17a-S, 17a-12, and lSa-7 under the Securities Exchange Act of 1934<br>FILING FOR THE PERIOD BEGINNING O 1/01 /23 | FACING PAGE | | AND ENDING 12/31/2023 | | | | | | MM/00/YY | | MM/00/YY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF FIRM: EMPIRE STATE FINANCIAL, INC. | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>0 Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | D Security-based swap dealer | | D Major security-based swap participant | | | | | 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 | | | | | (Clty) | (State) | (Zip Code) | | | | | | 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 | | | | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing• | | | | | | | | REID CPAS, LLP | | | | | | | | 7600 JERICHO TURNPIKE | (Name - if Individual, state last, first, and middle name)<br>WOODBURY | NY | 11797 | | | | | {Address) | (City) | (State) | (Zip Code) | | | | | JULY 1, 2013 | | 5861 | | | | | | (Date of Registration with PCAOB)(lf applicable) | | | (PCAOS Registration Number, If applicable) | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | • Calms for exemption from the requirement that the annual reports be covered by the reports of an independent public<br>accountant must…Read the full text as markdown