Full text of HAMPTONROCK PARTNERS, LLC's X-17A-5 filed 2024-03-08 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES | | OMB APPROVAL | | |------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|--------------------------------------------|----------------------------------------------------|--| | | SECURITIES AND EXCHANGE COMMISSION | | OMB Number: 3235-0123 | | | | | | Expires: Nov. 30, 2026 | | | | Washington, D.C. 20549 | | Estimated average burden<br>hours per response: 12 | | | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | FORM X-17A-5 | | 8-70461 | | | | PART III | | | | | | | | | | | | 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 01/01/2023 | | | | | | | M M / D D / Y Y | | M M / D D / Y Y | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | | NAME OF FIRM: HamptonRock Partners, LLC | | | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | ച Broker-dealer<br>L 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.) | | | | | | 100 Crescent Court, Ste. 525 | | | | | | | (No.and Street) | | | | | Dallas | TX | | 75201 | | | (City) | (State) | | (Zip Code) | | | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Rhenée Rogé | 214-536-3676 | rroge@hamptonrock.com | | | | ( N a m e ) | (Area Code - Telephone Num ber) | (Em ail Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | McBee & Co. | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 718 Paulus Ave. | Dallas | TX | 75214 | | | (Address) | (C ity ) | (State) | (Zip Code) | | | September 22, 2009 | | 003631 | | | | (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 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 inform…Read the full text as markdown