Full text of ROCKFLEET FINANCIAL SERVICES, INC.'s X-17A-5 filed 2025-07-14 (period 2025-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | PUBLIC<br>DOCUMENT | | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549<br>ANNUAL REPORTS<br>FORM X-17A-5 | | OMB APPROVAL<br>OMB Number: 3235-0123<br>Expires: Nov. 30, 2026<br>Estimated average burden<br>hours per response: 12<br>SEC FILE NUMBER<br>8-68139 | | | | | | | |-------------------------------------------------------------------------------------------------------------------------------------|--|-----------------------------------------------------------------------------------------------------------------|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------------|--|-----------------------------------------------------------------|--|-------------------------------------------------------------------------------------------------------------------------|--|--| | | | | | | | | | PART III | | | | | | | | | | FILING FOR THE PERIOD BEGINNING 04/01/2024 AND ENDING 3/31/2025 | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 193 | | | | | | MM/DD/YY | | MM/DD/YY | | | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | NAME OF FIRM: Rockfleet Financial Services, Inc. | | | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>و Broker-dealer<br>□ 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.) | | | | | | | | | | | | 1101 Tamiami Trail S, Suite 102E | | | | | | | | | | | | | | (No. and Street) | | | | | | | | | | Venice | | ri | | 34285 | | | | | | | | (City) | | (State) | | (Zip Code) | | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | | | | Catherine M Corrigan 888-909-4489 | | | | compliance@rockfleetfinancial.com | | | | | | | | (Name) | | (Area Code - Telephone Number) | | (Email Address) | | | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Ferrara CPA, LLC | | | | | | | | | | | | 100 Horizon Center Blvd. | | (Name - if individual, state last, first, and middle name) | | | | | | | | | | | | Hamilton | NJ | 08691 | | | | | | | | (Address)<br>12/17/2024 | | (City) | (State)<br>7259 | (Zip Code) | | | | |…Read the full text as markdown