Full text of THE ROCKWELL FINANCIAL GROUP, INC.'s X-17A-5 filed 2024-03-29 (period 2023-12-31). 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: Nov. 30, 2026 | | | Estimated average burden | | | hours per response: 12 | | | | | | SEC FILE NUMBER | | | 8-42399 | | ## **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 **Q 1 /Q 1 /23** AND ENDING **12/31 /23** MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: The Rockwell Financial Group, Inc. TYPE OF REGISTRANT (check all applicable boxes): C!J Broker-dealer D Security-based swap dealer 0 Major security-based swap participant □ Check here if respo ndent 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 | | | | 516 499-9453<br>Michael Halkitis | | mhalkiti~@thGrockwcitlfinanci:;ilgroup.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 | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | \* 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 3s the basis of t he 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 unle« the form displays a currently valid 0MB control number. {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | 1, Michael Halkitis | swear (or affirm) that, to the best of my knowledge a…Read the full text as markdown