Full text of ROCKFLEET FINANCIAL SERVICES, INC.'s X-17A-5 filed 2023-06-30 (period 2023-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES PUBLIC DOCUMENT Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden # ANNUAL REPORTS FORM X-17A-5 PART III | 12<br>ours per response: | | |--------------------------|--| | 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 4/1/2022 FILING FOR THE PERIOD BEGINNING MM/DD/YY MM/DD/YY 3/31/2023 A. REGISTRANT IDENTIFICATION NAME OF FIRM: Rockfleet Financial Services, Inc. TYPE OF REGISTRANT (check all applicable boxes): @ Broker-dealer □ Check here if respondent is also an OTC derivatives dealer AND ENDING 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 | | | | | John R. Swift | 212-257-2205 | | compliance@rockfleetfinancial.com | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | Michael T. Remus, CPA | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | (Name - if individual, state last, first, and middle name) | | | | | Hamilton Square | NJ | 08690 | | | (City) | (State) | (Zip Code) | | PO Box 2555<br>(Address)<br>2/23/2010 | | 3598 | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | \* Claims for exemption from the requirement that the annual 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-5(e)(1)(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 OMB control number. {1}------------------------------------------------ ### OATH OR AFFIRMATION | John R. Swift<br>swear (or affirm) that, to the best of my knowledge and belief, the | |---------------------------------------------------------------------------------------------------------------------------------------------------------…Read the full text as markdown