Full text of ROOSEVELT & CROSS, INCORPORATED's X-17A-5 filed 2023-03-01 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ROOSEVELT & CROSS, INCORPORATED FINANCIAL STATEMENTS DECEMBER 31,2022 {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 ## ANNUAL REPORTS FORM X-17A-5 PART III SEC FILE NUMBER 8-19363 FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING 01/01/22 AND ENDING MM/DD/YY MM/DD/YY 12/31/22 A. REGISTRANT IDENTIFICATION # NAME OF FIRM: Roossevelt & Cross, Incorporated TYPE OF REGISTRANT (check all applicable boxes): @ Broker-dealer Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | One Exchange Plaza / 55 Broadway, 22nd Floor | | | | | | |----------------------------------------------|--|--|--|--|--| |----------------------------------------------|--|--|--|--|--| | | (No. and Street) | | | | | |--------------------------------------------------------------------------------------------------|--------------------------------|-----------------|----------------------------------------|--|--| | New York City | NY | | 10006 | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | David Gilman<br>(212)504-9360 | dgilman@roosevelt-cross.com | | | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filling*<br>Withum Smith+Brown | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | 1411 Broadway, 23rd Floor | New York City | NY | 10018 | | | | (Address) | (City) | (State) | (Zip Code) | | | | 10/08/03 | | 100 | | | | | Doto of Ragictration with DCAOBIlit annucanial | | | DCAOR Ragistration Number it annucania | | | FOR OFFICIAL USE ONLY \* Claims for exemption from the requirement that the annual 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)(1)(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 OMB control number. {2}-----…Read the full text as markdown