Full text of BALLAST ROCK CAPITAL LLC's X-17A-5 filed 2024-03-25 (period 2023-12-31). 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** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER ## **ANNUAL REPORTS FORM X-17 A-5 PART Ill** **8-70943** **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 **4/11/2023** MM/DD/VY AND ENDING **12/31/2023** MM/DD/VY **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM: **Ballast Rock Capital LLC** TYPE OF REGISTRANT (check all applicable boxes): **lil** Broker-dealer D Security-based swap dealer D Major security-based swap participant □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # **460 King Street, Suite 200** | | | (No. and Street) | | | |-----------------------------------------------------------------------------------------------------|--------|------------------------------------------------------------|---------------------|------------| | Charelston | | SC | | 29403 | | (City) | | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Thomas Carroll | | (917) 970-1451 | tom@ballastrock.com | | | (Name) | | (Area Code -Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Ohab and Company, P.A. | | (Name - if individual, state last, first, and middle name) | | | | 1 oo E. Sybelia Ave., Suite 130 Maintland | | | FL | 32751 | | (Address) | (City) | | (State) | (Zip Code) | | 7/28/2004 | | | 1839 | | | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | \* Claims for exemption from the requirement that the annual reports be covered by the 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-S(e)(l)(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 0MB control number.** {1}------------------------------------------------ #### OATH OR AFFIRMATION I, lhom,:it Cl/Toll swear (or affirm) that, to the best of my knowledge and belief, the financlal report pertaining to the firm of B01141\I Roek C1p11.11 LLC as of…Read the full text as markdown