Full text of ROGAN & ASSOCIATES, INC.'s X-17A-5 filed 2022-02-24 (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** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | hours per response:<br>12 | | |---------------------------|--| | SEC FI LE NUMBER | | | 8-49995 | | # **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 \_\_\_ 0\_1\_/0\_1\_!2\_1 \_\_\_ AND ENDING \_ \_\_ 1\_2!\_3\_1\_/2\_1 \_\_ \_ MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM : \_\_\_\_\_\_\_ R\_o\_g,,,,\_a\_n\_&\_A\_s\_s\_o\_c\_ia\_te\_s\_;,\_l\_n\_c\_. --- ------- TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 200 9th Avenue North, Suite 100 (No. and Street) Safety Harbor FL (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 34695 (Zip Code) Ana R. Carter 813-442-1645 ana@roganfinancial.com (N ame) (Area Code - Telephone Number) (Email Add ress) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Assurance Dimensions (Name - if individual, state last, first, and middle name) 2000 Banks Road , Suite 218 Margate FL (Address) (City) (State) 04/13/2010 5036 33063 (Zip Code) **rte of Registcatioo with PCAOB)(if applicable! FOR OFFICIAL USE ONLY (PCAOB Regimatioo Nembec,** if **applicableJI** \* Claims for exemption from t he requ ireme nt that t he annual reports be covered by the report s 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-S(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 AFFIRMATION** | Michael Rogan<br>I, | swear (or affirm) that, to the best of my knowledge and belief, the | | |--------------------------------------------|------------------------------------------------------------------------------------------|-------| | financial report pertaining to the firm of |…Read the full text as markdown