Full text of RFS PARTNERS's X-17A-5 filed 2023-09-29 (period 2023-06-30). 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** # **ANNUAL REPORTS FORM X-17A-S PART** Ill | 0MB APPROVAL | |---------------------------| | 0MB Number: 3235-0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response:<br>12 | | | | | SEC FILE NUMBER | |---------|-----------------| | | | | 8-36128 | | #### **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 7/1/22 | ---------- | | AND ENDING 6/30/23 | ---------- | | |-------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------|-----------------------------------------|--------------------------------------------|--| | | MM/DD/VY | | | MM/DD/VY | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: RFS Partners | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>0 Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | O Security-based swap dealer | | □ Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 1875 Lawrence Street, Suite 300 | | | | | | | | | (No. and Street) | | | | | Denver | | co | | 80202-1805 | | | (City)<br>(State) | | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Steve Rogers | 415-398-2727 | | | srogers@sheltoncap.com | | | (Name) | (Area Code - Telephone Number) | | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Crowe LLP | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 485 Lexington Avenue, Fl 11 | New York | | NY | 10017 | | | (Address) | (City) | | {State) | (Zip Code) | | | 9/24/03 | | | 173 | | | | l"<br>of Reg;stcatioo w;th PCAOB)(a appl;cable) | | | | )PCAOB Reg;stcatooo Nsmbec, ,f applkable)! | | | * Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public | | FOR OFFICIAL USE ONLY | | | | 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 re…Read the full text as markdown