Full text of ROOSEVELT & CROSS, INCORPORATED's X-17A-5 filed 2022-02-28 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## ROOSEVELT & CROSS, INCORPORATED FINANCIAL STATEMENTS DECEMBER 31 ,2021 {1}------------------------------------------------ **UNITED STATES SECURITIES ANO EXCHANGE COMMISSION Washington, 0.C. 20549** OM B APPROVAL 0MB Number: 3BS-0123 Expires: Oct. 31, 2023 Estimated average burden ho urs per response: 12 ## **ANNUAL REPORTS FORM X-17A-5 PART** Ill SEC FILE NUMBER **FACING PAGE** | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | ____<br>'_,2_·:<br>MM/DD/YY | | _______<br>. . 2.:~ .:'2 | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-------------------|--------------------------------------------| | FILING FOR THE PERIOD BEGINNING __ O_!_O_'i | | _ AND ENDING _ | _<br>MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | .~C,8S6' 'a1: & ·'.>Jss ;;.:;o,oorated<br>NAME OF FIRM: | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Q Broker-dealer<br>0 Check here if respondent is also an OTC derivatives dealer | O Security-based swap dealer | | 0 Major security-based swap participant | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.} | | | | | | (No. and Street) | | | | | | | | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | David '.?i i~,2: ,, | 2) 50l-335G<br>12 '. | | | | {Name} | (Area Code - Telephone Number) | | (Email Address) | | | B, ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | •, , ;<br>:_; ·, | . r ~ . C | | (Address) | {City) | (State) | (Zip Code) | | " | | | | | 'f<br>of R,g;;uauoa w;th PCAOB)(if appUcablo) | | | (PCAOB Registration Number, if applicable) | | | FOR OFFIC | | | | • Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public<br>accountant must be supported by a statement of facts and circumstances relied on as t he basis of the exemption. See 17<br>CFR 240.17a-S(e)(l )(ii), if applicable. | | | | Persons who are to respond to the collection o…Read the full text as markdown