Full text of ROCKFLEET FINANCIAL SERVICES, INC.'s X-17A-5 filed 2026-07-14 (period 2026-03-31). 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 ## ANNUAL REPORTS FORM X-17A-5 PART III OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER | | 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 04/01/2025 | | AND ENDING | 03/31/2026 | | | | MM/DD/YY | | . MM/DB/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: Rockfleet Financial Services, Inc. | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>@ Broker-dealer<br>Check here if respondent is also an OTC derivatives dealer | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 8586 Potter Park Drive | | | | | | | (No. and Street) | | | | | Sarasota | i | | 34238 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Catherine 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 * | | | | | | Ferrara CPA, LLC | | | | | | 100 Horizon Center Blvd. | (Name - if individual, state last, first; and middle name)<br>Hamilton | NJ | 08691 | | | (Address) | (City) | (State) | (Zip Code) | | | 12/17/2024 | | 7259 | | | | (Date of Registration with PCAOB)(if applicable) | | (PCAOB Registration Number, if applicable) | | | | | FOR OFFICIAL USE ONLY | | | | | * Claims for exemption from the requirement that the annual renorts 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}------------------------------------------------ ###…Read the full text as markdown