Full text of THE ROCKWELL FINANCIAL GROUP, 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}------------------------------------------------ **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 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill SEC FILE NUMBER 8-42399 **FACING PAGE Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **0 1/01 /22** MM/DD/YY AND ENDING **12/31 /22** MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: The Rockwell Flnancial Group, Inc TYPE OF REGISTRANT (check all applicable boxes): <sup>~</sup>Broker-dealer D 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 Country Road, Suite 3 (No. and Street) Hicksville NY 11801 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Michael Halkitis 516 499-9453 mhalkitis@therockwellfinancialgroup.com {Name) (Area Code - Telephone Number) {Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* WWC,P.C (Name - if individual, state last, first, and middle name) 2010 Pioneer Court San Mateo CA 94403 (Address) {City) (State) (Zip Code) March 16, 2004 1171 rte of Reg;st,atioo w;th PCAOB)(;f appl;cableJ (PCAOB Reg;st,atioo N"mbec, ;f appl;cableJ 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 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. **FOR OFFICIAL USE ONLY** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | | I, Michael Halkitis | swear (or affirm) that, to the best of my knowledge and belief, the | | |---------|--------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------|-------| | | | financial report pertaining to the firm of The Rockwell Financial Group, Inc | as of | | | 12/31 |…Read the full text as markdown