Full text of ROGAN & ASSOCIATES, INC.'s X-17A-5 filed 2024-04-01 (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 8-49995 ### **ANNUAL REPORTS FORM X-17A-5 PART** Ill **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and l8a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING | __<br>1_f0_1 f_2_3 __<br>0_<br>_ | AND ENDING | ___ 1 _ | 2 _/3_1_/_2_3 __ | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-------------------------------------------|-----------------|--------------------------------------------| | | MM/DD/YY | | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | ______<br>NAME oF FIRM : | R_o_g_a_n_&_A_s_s_o_c_ia_t_e_s_, _ln_c_. | | | ______<br>_ | | TYPE OF REGISTRANT (check all applicable boxes):<br>0 Broker-dealer<br>D Security-based swap dealer<br>0 Check here if respondent is also an OTC derivatives dealer | | L.J 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 | | | | | | Ana R. Carter | 813-442-1645 | | | ana@roganfinancial.com | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | | 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 | 33063 | | (Address) | (City) | | (State) | (Zip Code) | | 04/13/2010 | | 5036 | | | | rte of R,g;stcatioa w;th PCAOB)Of appHcable] | | | | (PCAOB R,g;m,Uon N ombec, ff appl;cable] I | | "' Claims for exemption from the requirement that the annual reports be covered by the reports of an independent publ ic | FOR OFFICIAL USE ONLY | | | | 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 info…Read the full text as markdown