Full text of ROBERTS & RYAN INVESTMENTS INC.'s X-17A-5 filed 2020-04-13 (period 2020-01-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Roberts and Ryan Investments Incorporated Financial Statement and Report of Independent Registered Public Accounting Firm Pursuant to Rule 17 a-5( d) of the Securities and Exchange Commission Year Ended January 31, 2020 {1}------------------------------------------------ #### **UNITED ST A TES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | 0MB APPROVAL | | | | |--------------------------|-----------------|--|--| | 0MB Number: | 3235-0123 | | | | Expires: | August 31, 2020 | | | | Estimated average burden | | | | | Hours per response | 12.00 | | | SEC FILE NUMBER 8- **37469** ## ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill ### **FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING | ----------<br>02/01/2019<br>MM/DD/YY | AND ENDING | -----------<br>01/31/2020<br>MM/DD/YY | | | | | |--------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------|---------------|---------------------------------------|--|--|--|--| | A. REGISTRANT IDENTIFICATION | | | | | | | | | NAME OF BROKER-DEALER: | | | OFFICIAL USE ONLY | | | | | | Roberts and Ryan Investments Incorporated | | FIRM I.D. NO. | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | | | 39 Broadway, 16th Floor, STE 1640 | | | | | | | | | | (No. and Street) | | | | | | | | New York | NY | | 10006 | | | | | | (City) | (State) | | (Zip Code) | | | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | | | | James Niemie | | | 866-884-9959 | | | | | | | | | (Area Code - Telephone Number) | | | | | | | B. ACCOUNTANT IDENTIFCATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | | | | | Knight Rolleri Sheppard, CP AS, LLP | | | | | | | | | (Name - if individual, slate lasl,jirst, middle name) | | | | | | | | | 1499 Post Road, Suite 1040 | Fairfield | CT | 06824 | | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | | CHECK ONE:<br>[gl<br>Certified Public Accountant<br>D<br>Public Accountant<br>D<br>Accountant not resident in United States or any of its possessions. | | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | *\*Claims for exemption from th…Read the full text as markdown