Full text of EMPIRE STATE FINANCIAL, INC.'s X-17A-5 filed 2025-04-16 (period 2024-12-31). 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 SEC FILE NUMER 8- 16309 # **ANNUAL" REPORTS FORM X-17A-5 PART Ill** | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | |-------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|------------|-----------------------------------------|--| | FILING FOR THE PERIOD BEGINNING | __<br>_0_1 /_0_1_/2_4 | AND ENDING | 12/31/24 | | | | MM/DD/YY | | MM/DD/VY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: | EMPIRE STATE FINANCIAL, INC. | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>~ Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | □ 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 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | BRYAN GLASS | (516) 442-1883 | | BGLASS@ESFI.COM | | | (Name) | (Area Code - Telephone Number) | | (Em~il Address) | | | | 8. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>BERKOWER LLC | | | | | | | (Name - if individual, state last, fir~t, and middle name) | | | | | 517 ROUTE 1, SUITE 4103 | !SELIN | | 08830<br>NJ | | | (Address) | (City) | | (Zip Code)<br>(State) | | | 9/18/2003 | | 217 | | | (Date of Registration with PCAOB)(if applicable) (PCAOB Regl~tratlon Number, ifapplicable\ #### **FOR OFF\C\A\. USE ON\.Y** • Claims for exemption from the requirement that the annuad r~po t s relied on as the basis of the exemption. See 17 accountant must be supported by a statement of facts an c1rcums a nee I rts be covered by the reports of an independent public CFR 240.17a-5(e)(1)(ii), if applicable. **t** . **d In this form are not required to respond unless the form Persons who are to respond to the collection of information con a1ne displays a currently valid 0MB control number.** {1}------------------------------------…Read the full text as markdown