Full text of ROC GLOBAL LLC's X-17A-5 filed 2026-02-18 (period 2025-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **Roc Global, LLC** **Financial Statements and Supplemental Information Year Ended December 31, 2025** (Confidential Pursuant to Rule 17a-5(e)(3)) {1}------------------------------------------------ # **Roe Global, LLC** ## **CONTENTS** | Facing Page to Form X-17A-5 | 2A | |------------------------------------------------------------------------|----| | Affirmation of Member | 2B | | Report of Independent Registered Public Accounting Firm | 3 | | FINANCIAL STATEMENTS: | | | Statement of Financial Condition | 5 | | Statement of Operations and Changes in Member's Equity | 6 | | Statement of Cash Flows | 7 | | Notes to Financial Statements | 8 | | SUPPLEMENTARY INFORMATION | | | Schedule I -<br>Computation of Net Capital under Rule 15c3-1 | 15 | | REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING | | | FIRM ON COMPLIANCE WITH THE EXEMPTION PROVISIONS OF<br>SEC RULE 15C3-3 | 16 | | EXEMPTION REPORT | 18 | {2}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** ## **ANNUAL REPORTS FORM X-17A-5 PART** Ill 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-68605 | | FACING PAGE | | | | |-------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------|----------------------------------------------|--| | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934<br>__<br>0_1_/_0_1_/2_5 __ | ___ | 1_2/_3_1_/_2_5_ | | | FILING FOR THE PERIOD BEGINNING | MM/DD/VY | AND ENDING | MM/DD/VY | | | | A. REGISTRANT IDENTIFICATION | | | | | : _R_o_c_G_l_o_b_a_l,_L_L_C<br>NAME m FIRM | ______________ | | _ _ | | | TYPE OF REGISTRANT (check all applicable boxes):<br>0 Broker-dealer<br>D 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.) | | | | | | 535 Fifth Avenue, 4th Floor | | | | | | | (No. and Street) | | | | | New York | N.Y. | | 10017 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING |…Read the full text as markdown