Full text of ROCKFLEET FINANCIAL SERVICES, INC.'s X-17A-5 filed 2022-06-28 (period 2022-03-31). 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 OMB APPROVAL 0MB Number: 3235^123 Expires: Oct. 31,2023 Estimated average burden hours per response: 12 ## ANNUAL REPORTS FORM X-17A-5 PART III | SEC FILE NUMBER | | |-----------------|--| | 8-68139 | | | | FACING PAGE | | | |-------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------|-----------------------------------| | | Information Required Pursuant to Rules 17a-5,17a-12, and 18a-7 under the Securities Exchange Act of 1934<br>3/31/2022<br>4/1/2021 | | | | FILING FOR THE PERIOD BEGINNING | MM/DD/YY | AND ENDING | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: | Rockfleet Financial Services, Inc. | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>B Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | □ Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 420 Lexington Avenue, Suite 1402 | | | | | | (No. and Street) | | | | New York | NY | | 10170 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Catherine M. Corrigan | 212-257-2205 | | compliance@rockfleetfinancial.com | | (Name) | (Area Code-Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Michael T. Remus, CPA | | | | | | (Name - if individual, state last, first, and middle name) | | | | PO Box 2555<br>(Address) | Hamilton Square<br>(aty) | NJ<br>(state) | 08690<br>(Zip Code) | | | | | | \* 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 (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable) FOR OFFICIAL USE ONLY 3598 2/23/2010 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 curre…Read the full text as markdown