Full text of ROCKFLEET FINANCIAL SERVICES, INC.'s X-17A-5 filed 2024-07-01 (period 2024-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ OMB Number: 3235-0123 SECURITIES AND EXCHANGE COMMISSION PUBLIC Expires: Nov. 30, 2026 Washington, D.C. 20549 Estimated average burden DOCUMENT hours per response: 12 ANNUAL REPORTS SEC FILE NUMBER FORM X-17A-5 8-68139 PART III FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 AND ENDING 3/31/2024 FILING FOR THE PERIOD BEGINNING 04/01/2023 MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: Rockfleet Financial Services, Inc. TYPE OF REGISTRANT (check all applicable boxes): D Broker-dealer □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 420 Lexington Ave - Suite 1402 (No. and Street) New York 10170 NY (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\* Michael T Remus CPA (Name – if individual, state last, first, and middle name) PO Box 2555 Hamilton Square NJ 08690 (Address) (City) (State) (Zip Code) 02/23/2010 3598 (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable) FOR OFFICIAL USE ONLY UNITED STATES OMB APPROVAL \* 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 | Catherine M Corrigan | | | | | | swear (or affirm) that, to the best of my knowledge and belief, the | | | | |----------------------|--|--|--|--|--|-------------------------------------------------------------------------------|-------|--|--| | | | | | | | financial report pertaining to the firm of Rockfleet Financial Services, Inc. | as of | | | | | | | | | | 2 024 | | | | partner, officer, director, or equivalent person, as the case may proprietary interest in any account classified solely as that of a customer. Notary Public #### This filing\*\* contains (check all ap…Read the full text as markdown