Full text of R.M. STARK & CO., INC.'s X-17A-5 filed 2022-11-23 (period 2022-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------  **Financial Statements and Report of Independent Registered Public Accounting Firm Pursuant to Rule 17a-5** **September 30, 2022** {1}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | ANNUAL REPORTS | |----------------| | FORM X-17A-5 | | PART Ill | | 0MB APPROVAL | | |--------------------------|--| | 0MB Number: 3235-0123 | | | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response: 12 | | | | | | | SEC FILE NUMBER | | | | |---------|-----------------|--|--|--| | 8-22543 | | | | | | FACING PAGE | | | | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------|--------------------------------------------|--|--| | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934<br>10/1/2021<br>AND ENDING 9/30/2022 | | | | | | FILING FOR THE PERIOD BEGINNING | MM/DD/VY | MM/DD/VY | | | | | A.<br>REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: R.M. Stark & Co., Inc. | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>□ Security-based swap dealer<br>□<br>� Broker-dealer<br>Major security-based swap participant<br>□<br>Check here if respondent is also an OTC derivatives dealer | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 730 S Federal Highway | | | | | | | (No. and Street) | | | | | Lake Worth Beach | FL | 33460 | | | | (City) | (State) | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Stacey Stark | 561-243-3815 x108 | sstark@rmstark.com | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. | ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | Renaissance Regulatory Services, Inc<br>Assurance Dimensions | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 625 SE 10th Street, Building 3 Deerfield Beach<br>2000 Banks Road, Suite 218 | Margate | 33441<br>FL<br>33063<br>FL | | | | (Address) | (City) | (State)<br>(Zip Code) | | | | te of Registration with PCAOB)(if applicable)<br>(<br>r | FOR OFFICIAL USE ONLY | (PCAOB Registration Number, if a…Read the full text as markdown