Full text of R.M. STARK & CO., INC.'s X-17A-5 filed 2023-12-19 (period 2023-09-30). 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, 2023** {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | 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** AND ENDING **9/30/2023** MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM: R.M. Stark & Co., Inc. FILING FOR THE PERIOD BEGINNING **10/1/2022** TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer □ Security-based swap dealer □ Major security-based swap participant □ 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 | 561-243-381Sx108 | | sstark@rmstark.com | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Assurance Dimensions | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 2000 Banks Road, Suite 218 | Margate | FL | 33063 | | | (Address) | (City) | (State) | (Zip Code) | | | 4/13/2010 | | 5036 | | | | rte of Reglstratloo with PCAOBJI• appllcabl,J | | (PCAOB Re,;strntloo N,mboc, • applkabl•J | | | | | FOR OFFICIAL USE ONLY | | I | | \* 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-S{e)(l)(ii), if applicable. **Persons who are to respond to the collection of information contained in this form are not requ…Read the full text as markdown