Full text of THE ROCKWELL FINANCIAL GROUP, INC.'s X-17A-5 filed 2021-03-25 (period 2020-12-31). 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** Expires: October 3 1,2023 Estimated average burden # **ANNUAL AUDITED REPORT FORM X-l7A-5 PART Ill** | SEC FILE NUMBER | |-----------------| | *- 423 ?\$? | **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | | --<br>A. REGISTRANT IDENTIFICATION | - | - | | |-------------------------------------------------------------------------------------------------|------------------------------------|-------------------------------------------------------|-----------------|--------------------------------| | .-<br>NAME OF BROKER-DEALER: | j HE ~QoCjtdezc | GJ<br>~<br>U<br>C<br>I | Gem.f<br>~<br>L | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>1 | | | | I<br>FIRM I.D. NO. | | 240 d. OdD CO'LC)TAY QAD | , | 3 | | | | ijle KS gi//~ L e | | (No. and Street) | | /It30 I | | (city) | | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>M~C~~AEL<br>HALK~T/& | | | | (Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>c*<br>W'WC<br>> 5'. | | | | | | | | (Name - ifindividuul, state last, first, middle name) | | | | 20.,0 ?\<br>OELCE'~C C~~CT- | S<br>A | ~<br>~srre'o | CA | @i4L\03 | | (Address) | (City) | | (State) | (Zip Code) | | CHECK ONE: | | | | | | Certified Public Accountant<br>Public Accountant | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | *'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. I7ae5(e)(2)* SEC **141 0** (1 1-05) **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 OMB control number.** {1}------------------------------------------------ ## **OATH OR AFFIRMATION** **1,** rrl~\*+a **i;ktcc/fl~** , swear (or affirm) that, to the best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to…Read the full text as markdown