Full text of ROGAN & ASSOCIATES, INC.'s X-17A-5 filed 2023-02-27 (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 ### **ANNUAL REPORTS FORM X-17A-5 PART Ill** | hours per response:<br>12 | | |---------------------------|--| | SEC FILE 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 | ___<br>___<br>0_1_!0_1_!2_2 | AND ENDING | __<br>___<br>_<br>1_21_3_1_!2_2 | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------|-----------------------------------------|-------------------------------------------------| | | MM/ DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | _______<br>NAME OF FIRM: | R_o~g~a_n_&_A_ss_o_c_i_a_te_s~,_l_n_c_. | | ----------- | | TYPE OF REGISTRANT (check all applicable boxes):<br>0 Broker-dealer<br>D Security-based swap dealer<br>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 | | 34695 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | 813-442-1645<br>Ana R. Carter | | | ana@roganfinancial.com | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPEN DENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | Assurance Dimensions | | | | | (Name - if individual, state last, first, and midd le name) | | | | 2000 Banks Road, Suite 218 | Margate | FL | 33063 | | (Address) | (City) | (St ate) | (Zip Code) | | 04/13/2010 | | | 5036 | | l"<br>of Regist,atioo with PCAOB )(if applicable) | | | I<br>(PCAOB Regist,atioo Nombec, if applicable) | | | FOR OFFICIAL USE ONLY | | | \* Claims for exemption from t he 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-S(e)(l)(ii), if applicable. **Persons who are to respond to…Read the full text as markdown