Full text of THE ROCKWELL FINANCIAL GROUP, INC.'s X-17A-5 filed 2022-03-21 (period 2021-12-31). 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: Oct. 31, 2023 | | |--------------------------|--| | Estimated average burden | | | | | | | | SEC FILE NUMBER # **ANNUAL REPORTS FORM X-17A-5 PART Ill** FACING PAGE Information Required Pursuant to Rules 17a-5,17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING 01/01/21 AND ENDING 12/31/21 A. REGISTRANT IDENTIFICATION NAME OF FIRM: The Rockwell Financial Group, Inc TYPE OF REGISTRANT (check all applicable boxes): I3 Broker-dealer Security-based swap dealer Major security-based swap participant Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 240 W. Old Countrv Road, Suite 3 Hicksville (No. and Street) NY (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Michael Halkitis 51 6 476-1 063 **mhalkitis@therockwelIfinanualgroup.com** (Name) (Area Code - Telephone Number) (Email Address) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* (Name - if individual, state last, first, and middle name) 201 0 Pioneer Court San Mateo CA 94403 (Address) (city) (State) (Zip Code) March 16, 2004 1171 (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable) FOR OFFICIAL USE ONLY I I \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(l)(ii), if applicable. Persons whoare 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, Michael Halkitis | | , swear (or affirm) that, to the best of my knowledge and belief, the | |-------------------------------------------------------------------------------|-------|----------------------------------------------------------------------------------------| | financial report pertaining to the firm of _The ~ockwell Financial Group .Inc | | , as of | | 12131 | ,2022 | ,<br>is true and correct. I further swear (or affirm) that neither the company nor any | partner, officer, director, or equivalent person, as…Read the full text as markdown