Full text of ROOSEVELT & CROSS, INCORPORATED's X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # ROOSEVELT & CROSS, INCORPORATED FINANCIAL STATEMENTS DECEMBER 31, 2020 {1}------------------------------------------------ **UNITED STATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549** # **ANNUAL AUDITED REPORT FORM X-17 A-5 PART Ill** | 0MB APPROVAL | | | | |------------------------------|--|--|--| | 0MB Number:<br>3235-0123 | | | | | Expires:<br>October 31, 2023 | | | | | Estimated average burden | | | | | hours per resoonse 12.00 | | | | | | SEC FILE NUMBER | |---------|-----------------| | B-19363 | | **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING01/01/2020 | | AND ENDING 12/31/2020 | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|-----------------------|--------------------------------------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME oF BROKER-DEALER: Roosevelt & Cross, Incorporated | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM 1.D. NO. | | One Exchange Plaza / 55 Broadway 22nd Floor | | | | | | (No. and Street) | | | | New York City | New York | | 10006 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONT ACT IN REGARD TO THIS REPORT<br>David Gilman | | | (212) 504-9360<br>(Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>Withum Smith+Brown, PC | (Name - if individual, state last, first, middle name) | | | | 1411 Broadway, 23rd Floor | New York City | New York | 10018 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE:<br>I II' I<br>Certified Public Accountant<br>DPublic Accountant<br>DAccountant not resident in United States or any of its possessions. | FOR OFFICIAL USE ONLY | | | | *Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant<br>must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(e)(2) |…Read the full text as markdown