Full text of ROBERTS & RYAN INVESTMENTS INC.'s X-17A-5 filed 2022-03-29 (period 2021-12-31). 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, 2021 {1}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | 0 MB APPROVAL | | |--------------------------|--| | 0MB Number: 3235·0123 | | | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response: 12 | | | SEC FILE NUMBER | | | | | # **ANNUAL REPORTS FORM X-17A-5 PARTIH** #### **FACING PAGE** | Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934<br>FILING FOR THE PERIOD BEGINNING | ___<br>__ | | __<br>___ | |----------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|------------|------------------------------------------| | | 0_l_O_l /_2_1<br>MM/DD/VY | AND ENDING | 12_/_3_1/_2_1<br>_<br>MM/DD/VY | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | NAME OF FIRM: | Roberts and Ryan Investments Incorporated | | | | TYPE OF REGISTRANT (check a.II appl.icable boxes): | | | | | D Major security-based swap participant<br>I&:! Broker-dealer<br>□ Security-based swap dealer | | | | | D Check here if respondent is also an OTC derivatives dealer | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | | | 39 Broadway, 16th Floor, STE 1640 | (No. and Street) | | | | | | | | | New York<br>(City) | NY<br>(State) | | 10006<br>(Zip Code) | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | James Niemie | 866-884-9959 | | j niem ie@roberts-ryan.com | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | Knight Rolleri Sheppard, CPAS, LLP | | | | | | (Name- if individual, stat e last, first, and middle name) | | | | 2150 Post Road, 5th Floor | Fairfield | CT | 06824 | | (Address) | (City) | | (State)<br>(Zip Code) | | r·<br>03/04/2009 | | 3437 | | | of <traUon w;th PCAOS)(rr appHcable) FOR OFFICIAL USE ONL V | | | ~;cable)<br>(PCAOS s.,;strauon N,mb , . | \* Claims for exemption from the requirement that the annual reports be covered…Read the full text as markdown