Full text of ROBERTS & RYAN INVESTMENTS INC.'s X-17A-5 filed 2021-03-30 (period 2020-12-31). 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 17a-5(d) of the Securities and Exchange Commission December 31, 2020** {1}------------------------------------------------ ### **UNITED ST A TES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | | 0MB APPROVAL | |--------------------------|------------------| | 0MB Number: | 3235-0123 | | Expires: | October 31, 2023 | | Estimated average burden | | | Hours per response | 12.00 | 8- **37469** SEC FILE NUMBER # ANNUALAUDITEDREPORT 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>02/01/2020 | AND ENDING | -----------<br>12/31/2020 | |----------------------------------------------------------------------------------------------------------------|------------------------------------------|------------|---------------------------| | | MM/DD1YY<br>A. REGISTRANT IDENTIFICATION | | MM/DD/YY | | 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) | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>Knight Rolleri Sheppard, CPAS, LLP | B. ACCOUNTANT IDENTIFCATION | | | | (Name - if indh·idual "itale la:u.jirst. middle name) | | | | | | | | | | 1499 Post Road, Suite 1040 | Fairfield | CT | 06824 | | (Address) | (City) | (StHtc) | (Zip Code) | | | | | | | ~ Certified Public Accountant | | | | | Public Accountant<br>□ | | | | | CHECK ONE:<br>□ Accountant not resident in United States or any of its possessions. | FOR OFFICIAL USE ONL V | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240. / 7a-5(e)(2).* > **Potential 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.** {2}---------------…Read the full text as markdown