Rockfleet Financial Services Inc.

07/14/2025 | Press release | Distributed by Public on 07/14/2025 19:07

Information Required of Brokers and Dealers (Form X-17A-5)

Form X-17A-5 Filer Information UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

ANNUAL AUDITED REPORT
Form X-17A-5
Part III

FACING PAGE
Information Required of Brokers and Dealers Pursuant to Section 17 of the
Securities Exchange Act of 1934 and Rule 17a-5 Thereunder
OMB APPROVAL

FORM X-17A-5

OMB Number: 3235-0123

Estimated average burden hours per response: 12.00

X-17A-5: Filer Information

Filer CIK
0001453721
Filer CCC
XXXXXXXX
Is this a LIVE or TEST Filing? LIVE TEST
Would you like a Return Copy?
Is this an electronic copy of an official filing submitted in paper format?
Confirming Copy File Number

Submission Contact Information

Name
Phone
E-Mail Address
Notify via Filing Website only?

X-17A-5: Submission Information

Report for the Period Beginning
04-01-2024
and Ending
03-31-2025
Type of Registrant Broker-dealer
OTC derivatives dealer

Material Weakness

Does this submission include an accountant's report covering the compliance report that indentifies one or more material weaknesses? Yes No

X-17A-5: A. Registrant Identification

Name of Broker-dealer
ROCKFLEET FINANCIAL SERVICES, INC.

Address of Principal Place of Business (Do not use P.O. Box No.)

Address 1
1101 TAMIAMI TRAIL S
Address 2
SUITE 102E
City
VENICE
State/Country
FLORIDA
Mailing Zip/ Portal Code
34285

Name and Telephone Number of Person to Contact in Regard to this Report

Name
Catherine Corrigan
Telephone Number
8889094489

X-17A-5: B. Accountant Identification

Independent Public Accountant

Name - if individual, state last, first, and middle name
Ferrara Cpa, LLC
Address 1
100 Horizon Center Blvd.
City
Hamilton
State/Country
NEW JERSEY
Mailing Zip/ Postal Code
08691
Check One Certified Public Accountant
Certified Public Accountant not resident in United States or any of its possessions

X-17A-5: Signature

Oath or Affirmation

I, Catherine M Corrigan, swear (or affirm) that, to the best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of ROCKFLEET FINANCIAL SERVICES, INC., as of 03-31-2025, are true and correct. I further swear (or affirm) that neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account classified solely as that of a customer, except as follows:

NONE

Signature
Catherine M Corrigan
Title
President & CEO

Notary Public

Checking this box acknowledges that this oath or affirmation has been notarized.
Rockfleet Financial Services Inc. published this content on July 14, 2025, and is solely responsible for the information contained herein. Distributed via SEC EDGAR on July 15, 2025 at 01:07 UTC. If you believe the information included in the content is inaccurate or outdated and requires editing or removal, please contact us at support@pubt.io