Full text of ROBERTS & RYAN INVESTMENTS INC.'s X-17A-5 filed 2023-03-31 (period 2022-12-31). 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, 2022 {1}------------------------------------------------ **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 | | | | | | SEC FILE NUMBER | | | 8-37469 | | # **ANNUAL REPORTS FORM X-17A-5** | | PART Ill | | | |-------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|------------|----------------------------------------------| | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | FILING FOR THE PERIOD BEGINNING | ___<br>__ | AND ENDING | ___<br>__<br>_<br>12_/_3 l_/_22 | | | 0_l/_0_1/_2_2<br>MM/DD/VY | | MM/DD/VY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: | Roberts and Ryan Investments Incorporated | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>~ Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | | □ Major security-based swap participant | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.)<br>39 Broadway, 16th Floor, STE 1640 | | | | | | (No. and Street) | | | | New York | NY | | 10006 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Brian Rathjen | 866-884-9959 | | brathjen@roberts-ryan.com | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Rolleri Sheppard, CPAS, LLP | | | | | | (Name - if individual, state last, first, and middle name) | | | | 2150 Post Road, 5th Floor | Fairfield | CT | 06824 | | (Address) | (City) | | (State)<br>(Zip Code) | | 03/04/2009 | | 3437 | | | rte pf Reglstcatloo wl<h PCAOB)llf appUrable) FOR OFFICIAL USE ON LY | | | (PCAOB Reglstcatloo Nombe,, If appllrable) I | | * Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public | | | | accountant mus…Read the full text as markdown