Full text of EMPIRE STATE FINANCIAL, INC.'s X-17A-5 filed 2026-04-02 (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 APPROVAi 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FIL£ NUMBER 8-16309 **Information Required Pursuant to Rules 17a-5, 17a-12, and lSa-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING 0 1/01/2025 MM/DD/VY AND ENDING 12/31/2025 MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: EMPIRE STATE FINANCIAL, INC. TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer □ Securit y-based swap dealer 0 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.) 200 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) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this fi ling\* BERKOWER LLC (Name - if individual, state last, first, and middle name) 517 ROUTE 1, SUITE 4103 ISELIN NJ 08830 (Address) (City) (State) (Zip Code) 9/18/2003 217 (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 240.17a-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 0 MB control number.** {1}------------------------------------------------ | Bryan Glass | | swear (or affirm) that, to the best of my knowledge and belief, the | |------------------------------------------------------------------------|------------------------------------------------------------------------------------------|---------------------------------------------------------------------| | Snancial report pertaining to the firm of Empire State Financial, Inc. | | 25 - 10 - 1 | | December 31 | 2025 , is true and correct. I further swear (or affirm) that neither the company nor any…Read the full text as markdown