Full text of ROGAN & ASSOCIATES, INC.'s X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** ## **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | | 0MB APPROVAL | |-------------|---------------------------| | 0MB Number: | 3235-0123 | | Expires: | August 31, 2020 | | | Estimated average burden | | | hours per response 12.00 | | | | | SEC FILE NUMBER | | |-----------------|--| | 8-49995 | | **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | | REPORT FOR THE PERIOD BEGINNING 0 1/01 /20<br>AND ENDING 12/31 /20 | | ----------- | |--------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------|-------------------|--------------------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: ROGAN & ASSOCIATES, INC. | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM I.D. NO. | | | 200 9TH AVENUE NORTH, SUITE 100 | | | | | | (No . and Street) | | | | SAFETY HARBOR | FL | | 34695 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Ana R. Carter/ 813-442-1645 | | | | | | | | (Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | Assurance Dimensions | | | | | | (Name - if individual, state last, first, middle name) | | | | 2000 Banks Road, Suite 218 | Mergate | FL | 33063 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | lcertified Public Accountant | | | | | 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 240.17a-5(e)(2)* > **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 0MB control number.** {1}------------------------------------------------ ## **OATH OR AFFIRMATION…Read the full text as markdown