Full text of RKCA, INC.'s X-17A-5/A filed 2023-03-15 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **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 8-35572 **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and lSa-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **O 1/01/2022** AND ENDING **12/31/2022** MM/DD/YY MM/DD/YY I **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: RKCA, Inc. TYPE OF REGISTRANT (check all applicable boxes): E!J Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer D Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | 1077 Celestial Street | | | | |-----------------------|--|--|--| |-----------------------|--|--|--| | | | (No. and Street) | | | |----------------------------------------------------------------------------------------------------|---------|----------------------------------------------------|-----------------|------------------------------------------| | Cincinnati | | Ohio | | 45202 | | (City) | | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Brent Rippe<br>513-997-4524 | | brippe@rkca.com | | | | (Name) | | (Area Code -Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Flynn & Company, Inc. | (Name - | if individual, state last, first, and middle name) | | | | 7800 E. Kemper Road | | Cincinnati | Ohio | 45249 | | (Address) | | (City) | (State) | (Zip Code) | | l"<br>11/17/2009 | | | 3876 | | | | | | | | | of Reg;stcaUoo with PCAOB)l;f appHcable) | | | | )PCAOB R,g;stcaUoo Nombec, ;f appHcable) | \* 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 required to respond unless the form** displays a currently valid 0MB control number. {1}------------------------------------------------ ## **OATH OR AFFIRMATION** | I<br>, Brent Rippe | swear (or affirm) that, to the best…Read the full text as markdown