Full text of THE ROCKWELL FINANCIAL GROUP, INC.'s X-17A-5 filed 2025-03-31 (period 2024-12-31). 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 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | SEC FILE NUMBER | |-----------------| 8-42399 **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 **O 1/01 /24** MM/DD/YY AND ENDING **12/31 /24** MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: The Rockwell Financial Group, Inc. TYPE OF REGISTRANT (check all applicable boxes): Ii] Broker-dealer □ Security-based swap dealer □ Major security-based swap participant D 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, Ste 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@therockweltfinancialgroup.com | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* WWC, P.C. | 2010 Poineer Court | (Name - if individual, state last, first, and middle name)<br>San Mateo | CA | 94403 | |-------------------------------------------------|-------------------------------------------------------------------------|---------|-------------------------------------------| | (Address) | (City) | (State) | (Zip Code) | | March 16,2004 | | 1171 | | | rt,<br>of Regimatioo with PCAOB}(if applicable) | | | (PCAOB Regi<Uatioo Nombec, if apPlicable) | | | 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 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. {1}------------------------------------------------ #### **OATH OR AFF…Read the full text as markdown