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FACING PAGE f;.Information Required of Brokers and DealersPurfiltl 4 ecteon 117 o'tlie

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Securities Exchange Act of 1934 and Rule 17a-5 T ̀vreunder? ;I

4 REPORT FOR THE PERIOD BEGINNING 0401/2015 AND. ENDI qW 03/31 IZO'I6 ! :,t

I ( MM/DD/YY MM/DDJYY'l 1

A. REGISTRANT IDENTIFICATION

NAME OF BROKER-DEALER: Rockfleet Financial Services,' Inc.I

' ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No)

'OF FidAL1 SONLY-:

FIRM S D CIO. Ir:.1,,

64-66. Gleneida Ave . - ' ;. ::I i , i,4.

:,. . ........ ...... (No and Street)

CarmelNY

(City) (State) I t' (ZI[)'God~':I 1,1 I l JI 1 }jY.:, .i ~' :' 1 ~'; ~• 1~ Ir , ;., ( I:

NAME AND. TELEPHONE NUMBER OP PERSON x0 C NTAC`T IN' ItE6AW T`O T IS,'REPOR Ca&nne M* Corrigan; President 212-257-22U5 I.: : bl

(Area Coe eiCphonyjNutiliier)

' B. ACCOUNTANT IDENTIFICATION 11. '• Tj

,I, I ;..a' INDEPENDENT PUBLIC ACCOU.NTANT•whose opinion 'is contained:in Phis

Michael T Remus CPA dt

1(N me flndti'tdual, state last, first, iniddle' gme) ''~t

PO Box 2555

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OATH OR AFFIRMATION

I, datherine M. Corrigan l sw ar (or affirm) that, to the b'est:of

my • nowledge and belief the accompanying financial statement and supporting schedul s pertaining to the firm of z i ;

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Rod fleet Financial Services, Inc. as'

of 2O , are true and corre Y. I f tthe :swear; or, affirm tt a ~!i March 16 u '.,

neither the company nor any partner, proprietor, principal officer or director has any pr prietary interest-in,any'acc unt,.

i cla 'sifted solely as that of a customer, except as follows:

Nofxceptions

President

Noterry Pub

~.Tpport *'+ contains (check all applicable boxes):.;(a) Facing Page.

'~ .(d)' Siateinent of Financial Condition. 3

f (d) ''.$cafe iettt of!Income. (Loss)... V ,1(d).. Statement of Changes in Financial Condition. " '• - : --

a ,(e) Statement of Changes!in,Stockholders' Equity pr Partners'.pr SpfStatefneni of Changes in Liabilities Subordinated to Claims .of Cr

0;(g) Computation of Net Capital.(h) Computation for Determination of Reserve Requirements Pursuan

lhformation•Relating to the Possession or. Control Requirements t❑ I(j) A Reconciliation, including appropriate explanation of the Comput.. • :1.:.. Computation for Determination .of the.Reserve .Requirements Und❑ 0) A Reconciliation between-the audited and unaudited Statements o

• consolidation. .Q:(1) An Oath or Affirmation.❑ ;(m) A copy of the SIPC Supplemental Report.❑ (n) . A report describing any material inadequacies found to exist or foun

*.*Aor conditions of confidential treatment of certain portions'. of this'filin~

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Proprie ors''

to ku le f5c'rider Ru e;15tion of et C:r Exhib t:A.(Fi'nanci I Cc

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see sec ion.;

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ition with respect to methods o'f

1 gince the date ofthe,previo s audit.

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Rockfleet Financial 'Se 7 ices

MICHAEL T. RE

C Pop.&P.O. Box 2555

Hamilton Square, NJ 08690.

Tel; 609-540-1751Fax: 609-570-5526

REPORT OF INDEPENDENT REGISTERED PUBLIC

Board of Directors

US

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A6 UNTING FIRM

Rockfleet Financial Services, Inc. , i I i i • .

.I have audited the accompanying financial statements o"Rockfliet. i nancial Services, Inc.Delaware Corporation) which comprise the statement of fi ia9cial

,and I on as of Marclr3I,01i

and the related statements. of operations, changes in IiabiIi ies sub rdin ed to claims of creditorschanges in stockholder's equity (dificit) and cash flows or'I the: ear en ended; tot are: filed .l ;:i"''''pursuant to Rule' 17a-5 *under the Securities Exchange A' t bf 1 4 a the related 6tes.;to thefinancial statements and . supplemental 'information. . Rockfl et A ancial Services, . jnc.'~ management is responsible for these financial statements.. y respo sibi is to express an-opiniohon these financial statements based on my audit.

I conducted my audit in accordance with the standards ofthePublic! ('10m, y Accounting OversightBoard (United States). Those standards' that I plan aaiddpierfo m tl%' uditto obtain reaspnabl+ I. i j` I assurance about whether the financial statements are free f material j statement. The corinpany, !; y'is not required to have, nor was I engaged to perform, an auditof i 3n al control over financial

•reporting. My audit included consideration of internal cont

'of over

~ I• i I jinane al reporting ois,a basis foil I :;

designing audit procedures that are appropriate in the cir umsta ces, t not for'th.e., purpose o E..1expressing an.opinion on the effectiveness of the comany'sreporting. Accordingly, I express no'such opinion. An audit

:also inc

.;,nter . control jov r financia~ude j xamining, on a test basis,,

evidence supporting the amounts and disclosures in Osignificant by

e financial'.!mana

tements, .assessing the . ! ; k 'wellaccounting principles used and estimates made eme: iz as as evaluating the;. .• ~,j ;

overall financial statement presentation'. I believe that my audit pro ide reasonable basis for myopinion. I~

In my opinion,:the financial statements referred to above pr seint.fa rly, •pi ally rnaterpal Spec , th ; i j•tfinaricial:condition of Rockfleet Financial Services, Inc. as-- f Marc 131,i 16, and the results bf it.: ;operations and its.cash flows for the year then ended in• ccorda ce h accoun'tin~ princrples {generally'accepted in the United States of America:Vii

.The accompanying financial statements been prep red ass min than the ComparryI;will_havecontinue as a' going concern. As discussed in Note 10, the C ompa ha i cursed a'si&ifrcant net

loss in the current fiscal year ended March 31, 2016 that.rai . es (subs nti lilt doubt about tits a lity td;

continue s a goingconcern. Management's plans in re and to this atte a also de cri . d:i of

10. The,financial statements do not include any adjustmen thatm ght : ult. frormp the but o e r,xhis uncertainty. My opinion is not modified with respect t is

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Supplemental Information

The Schedule I Computation of Net Capital under Rule I

15c3-1, ScDetermination of Reserve Requirements under Rule 15c3-3 (Exem tiorfor Possession or Control Requirements under Rule 15c3-3 (Exemp ion)Indebtedness has been subjected to audit procedures performed i :coRockfleet Financial Services, Inc.'s financial statements. The s pplresponsibility of Rockfleet Financial Services, Inc.'s manage~nen , M3determining whether the supplemental information reconciles to theunderlying accounting and other records, as applicable, Ian d pe. fomcompleteness and accuracy ofthe information presented in t e 9uppl meimy opinion on the supplemental information, I evaluated Iwl jetheil - theincluding its form and content, is presented in confornl it)I wit RtExchange Act of 1934. In my opinion, the -supplemental•ih For riation isrespects, in relation to the financial statements as a whole:

Michael T. Remus; CPAHamilton' Square, New JerseyJune 9, 2J 16

Note 10. RestatedJune 1:6; 2016

Note 3 RestatedDecember 19, 2016

i;

1Jule II Cotq.btation f~r,Schedule IIIInformatim . .id Schedule ofAggtega$cmction with the audit.0rental inf6rmati6nJs titre { T"'! '

udit procedures included If! 'tancial statements nor_ tlxgg procedures to test th•J information..Inform. in

1

ipplernental information}_17a-5 of the- Securitie

irly stated, in,4ll materiii.

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ROCKFLEET FINANCIAL SERVICE,

STATEMENT OF FINANCIAL CONDI

March 31, 2016

ASSETS

Assets

Cash $

Deposit at clearing

Prepaid expense

Security deposit

Other receivables

Total Assets $

LIABILITIES AND STOCKHOLDERS'. (I

Liabilities

Accounts payable and accrued expenses $

Subordinated liabilities

Total Liabilities

Stgg gig ders' (Deficit)

Common stock, $0.no Par Value, 10,000 shares

authorized, 2, t32 shares issued and outstanding

Retained earnings (deficit)

Total Stockholders' (Deficit)

Total Liabilities and Stockholders' (Deficit) $

See accompanying notes.

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j INC.

PION

14,4

s0,0(0r l

9!

9,0

Z5,83

I 9 7$qi i! .. ..!. l~. •I .i t;jlfi

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1. F)~CIT

8,49,!0,000,

1~ i i lay;

I` l 8,49.

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2,24 I(2,2

,58

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ROCKFLEET FINANCIAL SERVICE 3, I :. j ! •fl :.

Notes to Financial Stateme I is •

Year Ended March 31, 2016

1 Organization and Nature of Business

Rockfleet Financial Services, Inc. (the Company) is a Dela~a a co ora n conducting business a$Ia securities broker dealer. The Company holds no customer fund or a( urities. The Company's ~.principal business activity isthe sale of securities. The Com any isgist ed with the Securities analExchange Commission is Financial Indic try Regulatory Authority("SEC") and a member of the(" FINRA") and the Securities Investor Protection Corporstio l ("S IPO

2 Significant Accounting Policies I {'

(a) Basis of Presentation { i

The financial statements and accompanying notes are pr p red n ac rdance with' accountingrinci les accepted 'iri the United of America ,(,..' i.a `..`J.S.i~AAP"' unless: oiherwis(• )

generally .StatesP P g Y P disclosed,

I.

(b) Use of Estimates

with g~nerall ' edaccountinig; princi leNThe preparation of financial statements in conformity acc requires management. to make estimates and assumptions t at affec the: orted amounts of,asse. 1and liabilities and disclosure'of contingent assets and liabilit es at th dat ~ the financial statements . ;~....I IIIand the reported amounts of revenue and expenses during th report ng p od:. Actual results coup

:..:;

differ -from those estimates. f ! 1'• ' . .

(.c) St4rtemenf of Cash Flows

For Ourposes of the statement of ca:sh.•flows •the Company..has deft .e'd i h equivalents- as highlyIliquid investments, with original maturities of less. than three month , tha ,' a not held•f6rsale,in the;ordinary.course•of business. The company has adopted. the }n di ect ethod of presentin thq; :

,4

statement;of Cash flows in accordance vaith .current. authoritatiye pr nou ements...There wete nq•- .cash' equ ivalents, at March 31, 2016.

(d) .'Accounts-Receivable _: I i ;'. ,' j. , 'i` :;i;. . ̀. ' i •:,

.The Company establishes an allowance for uncollectibl ; tri de cco is receivabl-i ;based of j'managements evaluation of the collectibility of outstanding ccount -rec' . able. M4nag~merit hasevaluatcd,:accounts: receivable at March 31, 2016 and. belie es they are ;' collectible'.; _Accountsreceivable are not'col lateral ized. I ;;

(e)i 'Revenue Recognition

Com;nissions and. related clearing expenses are recorde • on a l• ead ate hasisr. asi,' ̀ secwit}es<~Litransactions occur. Revenues from advisory• fees and municipal urnd r. i . g are'rgc~pg ized i;, thel ! k ': ' 11.1' ̀.• +•period earned, generally when the assignment has been corr~pl ted r as: a advisoKy sgvwq$; arejdelivered.

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ROCKFLEET FINANCIAL

Notes to Financial State

Year Ended March 31,

(f) Income Taxes_ I

The Company recognizes and measures its unrecognized tax740, Income Taxes. Under that guidance the Companytechnical merit, that tax positions will be sustained ulcircumstances and information available at the end ofmeasurement of unrecognized tax benefits is adjusted whetan event occurs. that requires a change.

Certain transactions of the Company's; may be subject to aiincome tax purposes which differ significantly from the acefinancial statements. Accordingly, the net income or loss ofin the shareholders'. capital accounts reported for federal. arfrom the balances reported for those same items in these tar

Managernent has determined thafthe Company has no un(financial statement recognition at-March 31; 2016. Thi~:congoing evaluation as facts and circumstances may require;federal and state income tax audits for all years subsequent

In addition, no income tax related penalties or interest have31,2016.

Tin ie O1:

(gl.: Depreciation

Depreciation is provided on a straight-line basis using es in)afurniture and bquipment

Equipment and furniture is recorded. at ;cost. Maintenance,materially add to the value of theproperty nor appreciablyprolo~incurred. Gains and losses on disposition of property and equip'

(h) Advertising and Marketing

Advertisin& and marketing costs are expensed as incurred . .

~(i) ; ,General and Administrative Expenses

G'eneral.and *administrative costs .are expensed as incurred.

(j) Subsequent Events y

The Company has evaluated subsequent events occurring ai.date through,the date of June 9, 2016 which is the date the fissued. Based. on this. evaluation; the Company has deterogcurred which require disclosure -in or adjustment to the f

in;the

ted lusef

rep airs. aig i 1 ifepen are

ncial

)rdance with ASC Topic:elihood, based on'their j>n based on : the ;: facts; :.

reporting period.' The !`on.is available, or when !P

ods for federal and,.state ,ds used in preparing the jid the resulting balances 1`fax purposes may differ,its:

Gions. that would require 1.4111 always by subject Wremains'subject to;U.S;

4.

)r the year ended M.4rch

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lives of ,five!yea's; fQri~

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• renewals 'that ̀:ngjther;,e.charg to:exppgse ash; !~eluded in income

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t of finanpial;, condjOon ,: 1is were availdble f6 be .bsequent events kiave is " ; .

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ROCKFLEET FINANCIAL

Notes to Financial Statements

Year Ended March 31, 201.6. .

(k) Fair Value Hierarchy

FASB ASC 820 defines fair value, establishes a framework rora fair value hierarchy which prioritizes the inputs to valuatioRn twould be received to sell an asset or paid to transfer a liabilimarket participants at the measurement date. A fair value rr)ea.,to sell the asset or transfer the liability occurs in the principalthe absence of a principal market, the most advantageous) m,consistent with the market, income or cost approach, as specsmeasure fair value.

The fair value hierarchy prioritizes the inputs to valuation techithree broad levels:

Level 1 - Quoted prices (unadjusted) in active !mathat the Company has the ability to access. at the measureme N

Level 2 - Inputs other.than quoted prices includedassets or liability either directly or indirectly.

Level 3 - Inputs are unobservable for the assets 0

The availability of observable inputs can vary from security ivariety of factors, including, for example, the type of securitycharacteristics particular to the security.. To the extent the v ~Imare; less observable or, unobservable in the market, the deterrjudgment. Accordingly, the degree ofjudgment exercised_m ifor. instruments categorized in level 3. {

The inputs used to measure fair value may fall into differe lnt 1such cases, for disclosure purposes, the level in the fair vat elmeasurement falls in its .entirety is determined based on the tothe fair value measurement in'its entirety.

For further discussion of fair value, see "Note 9 Fair Value"

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A et fiet V

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hje , api a equiremen s •- ; . _ • ~. • ; .

The Company is subject to the SEC Uniform Net Capital Rules (SE RLthe maintenance of minimum.net capital, and requires that t ~e ratio f agcapital, both ,as defined,, shall not exceed ;1.5 to l (and the rule of theprovides that equity capital may not be withdrawn or cash di vi paiiratio would exceed 10 to 1). At March 3 f,'2016, the Compa~ny'~s h e*t capwere$49,251 and $50,000, respectively, resulting in a net ca vital deft iennet capital ratio was .3756 to 1;

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air value; and establisheh.Fair value is l he price thaterly transaction betweein !'!umes that the transaction'he asset or liability: or, ination techniques that ar6 ; !313 ASC 820; are used io

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to measure fair value into

:ntical assets ,or lia 'ilities

hat are observable.' `

Ind is affected by a; widity of markets; an :otherJ on models or:inputs thA fair- value requi ecmarthe fair:, value;is;,greatgst

fair'val'ue:hlerarcki 'I !;

ithin'whidh 61 'Ifair' *aliu!put:64 is 81ghifi¢ 'nt:t

l 15c3-1), which requires i ' 1`' E•

gate Jndebtejdnessi rt i . i,.phcable"'.exchange alsp;the resulting-net ulapi.ta~and required net 4'4;pita!l

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ROCKFLEET FINANCIAL SE ICE

Notes to Financial Statei ents

Year Ended March 31, 2016 I ~`

4 Clearing Agreement with Off Balance Sheet Risk

To facilitate securities transactions on behalf of its custtomers, the !~ mpany. entered into IE .

agreement with another broker/ dealer (Clearing Broker/Dealer) here, the Company forwar$(introduces) securities transactions to. the., Clearing BrokerlDealer n a illy disclosed basis: T11gprocessing, and if applicable any financing pertaining to any introdiced. ~1ansactions.are preforinhe~dby the Clearing Broker/Dealer.

The Company may be held responsible for any losses arising when he c ` I tomers 'introduced,by theCompany to the Clearing Broker/Dealer fail to meet their co~ntractu 1 cor'Initments pertaining to the !purchase, sale and possible financing of securities transactions. he

~mpany may therefore be

jlIexposed to off-balance-sheet risk in the event the customer isobligations and it is necessary for the Clearing Broker/Dea erlto.p

nabs:rcha

to fulfill its contractN or sell'the.s~curities at'

loss. The Company's exposure to risk would consist o the a oun, f loss realized aril a'additional expenses incurred pertaining to the transaction,or otherp p. g I c ust er activi atY= j. 1.:i ,

The Company is required, according to the agreementto maintain a.$Broker/Dealer of which $50,000 has been, made to assure the. Co

0,0pan,

i0 depositwith the Clearing3 performance .under th's, , !► f

Iagreement. The minimum clearing charges are $2,500 per month.~. ;.,•!c' is: • , • .: .

5 Credit Risk and Concentrations

The Company* is engaged in various tradingand brokerage activities in' hich the counter.- artieprimarily:: include broker. dealers, banks,: municipalities; other fina' ial institutigm ;E4 tCo}npany s own customers: In the event the counter-parties do, of ill theiroblrgationo, tCompany;may be exposed to credit risk: The risk of aefaul~ depen

;s on ~t eoeditwort iine,.ss of th

counter. party or issuer of the instrument.: It is the Company s pol cy to' 'eview, as,necessai {; tinycredit: standing.of each counter party.

The Company maintains its cash balance at one financial institution. The ederal:Depositt Insutanc.'Corporation insures the Company's bank account up to $250,'000: T e Co . any; has at•,p q' nce'any losses on this account and believes it is not subject to any igni tca ; redit rislf,

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6 , Related Par Transactions

During the year ended March 31, 2016 the Company eompe ;sated it pri pal share~ioleter wi 11 l O j fshares of common stock in lieu of cash com ensation`.

he Company recognizes share based compensation expense for stookwith ASC Topic 718 stock compensation. Fair value of the. shap P

the -March 31 2016. No

ass g

:

I ds granted inaccorjancnted was a • roxi atel ` -",. PP , nl. Yito' be$100,000 for year ended shares re exp cte i repurchased in the ' : f;.:. ;•

-following'annual period in,connection with this equity combensati n.It

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ROCKFLEET FINANCIAL SERVICE i, 11i

Notes to Financial.Statements1

Year Ended March 31, 20116

7 Liabilities Subordinated to Claims of General C.

In March 2010 the Company entered into two separate subcof $120,000. The notes are dated March 10, 2010 and Marcmaturity date. The subordinated lenders are shareholders c

Subordinated Loans.

Due April 30, 2019 $ 65,000

Due April 30, 2019 55.000

$ 120.000

The notes are payable in three years from the date of signiplus 3% subject to approval by FINRA. However, appendixwritten approval of FINRA before any repayment of a sub(Company has made no principal payments in the year endextent that such borrowing's are'required for the Companynet capital requirements, they may not be repaid.

8 Lease

The Company leases office space in various locations witCompany is not responsible for utilities, real estate taxes, orThe Company has no operating leases with remaining term2016;

. :.

9 Fair Value

Cash and cash equivalents, receivables, accounts payable ain the financial statements at carrying value which approximmaturity of these instruments.

10 Managements Plans

The financiafstatei*nts have been prepared on a going conywill ̀continue in operation. for the foresee'ble.future„And hCapital requirements. The Company has incurred losses forisManagement is diversifying into other retail offerings by csecurities business related to equities, options, and mutual 1with the SEC:and the'Municipal Securities Rulemaking Bo

The ability of the Company to continue as a going concern iplan outline by.the Company, and the availability of additic

ate k,2Q] 0

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and 4ear.

3

:s fair a.iIi

n.basi , i

Ids. in 2011 as aun

lepen nt11[fina4cin

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P

reements in the "out ~aare payable in full.on the I '.

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crest at the rate of prime15c3-1 requires thepriot`:meat carr.be made Th;

' ̀tF

!016. In addition,ito thbs l mpliance with mini,mu►j1 Iz

it

of one year or les$f; Thy1 its leased offices aces. ' 3' • : ' '''>ne yearns of MaCc

,.h 3,, I~

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t liabilities are reflected;:

ecause of the short term:

th assumed t ;Cpani , !stuto!

p ,'x°,I'0 irieet` it?s

Ine{ !

March 31, 2616'

approval to engage 7~}he Company. regiterCd;

:t ;:̀ ;'I ;:1 '

•al financial;advisor.i :•

he succe$s of;th,646s l I ) !!. '.r capital ~04A.Ii6Wtnsf {

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ROCKFLEET FINANCIAL SFNotes to Financial StateYear. Ended March 31,

11 Commitments and Contingencies

Pursuant to Securities and Exchange Commission Rule 15c:distributions to its stockholders if such distributions cause120% of the Company's minimum net capital requirement.not in violation of this requirement.

grits6

I

1 ~..e)(21 the

The Company had no lease or equipment rental commitments ('•exceno underwriting commitments, no contingent liabilities, and had nany lawsuit at March 31, 2016 or during the year then ended.

12 Income Taxes '

iThe Company has net operating loss carry forwards that may be offsThe loss carry forwards at March 31, 2016 total approximat;ly i 1,831, 2035. I

13 Anti-Money Laundering Policies and Procedures !

The Company is required to implement policies and procedures recompliance, suspicious activities, and currency transaction repoirtin;who open accounts with the Company. At March 31, 2016. the Cpolicies and procedures.: i 1

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npany may not autho ri'.net capital to fall low2016 the tom an wad.

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st future taxable iricomind will expi a on Marc

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anti-mot eylaunj6!-iri je diligence on customershad implemente~N ucl

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Supplementary Information

Pursuant to. Rule 17a-5 of th I.I.• -~;;' ': ~~•,:.

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Securities Exchange Acts of 19 4

as of March 31, 2061 ±' ti '~• i 1•

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MICHAEL T. REM]~~'E'1Gf~ T'u~PlC 1'~cCQG

P.O. Box 2555 iHamilton Square, NJ 0'

Tel: 6 9-540-1751Fax: 609-570-5526

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To: The StockholdersRockfleet Financial Services, Inc.

I `I. have reviewed managements, statements, included in th4Computation of Net Capital under Rule 15c3-1, Schedule II Ccof Reserve Requirements under Rule 15c3-3 (Exemption); in iServices, .Inc. identified the following provisions of 171 C.FRockfleet Financial Services, Inc. claimed an. exemption ftunder.—k(2)(ii), - (the "exemption provisions") and (2) Rockstated ' that Rockfleet Financial Services, Inc. met the iiderthroughout the most recent fiscal' year vaithout, exception andPossession or Control Requirements under Rule 15c3=13 i xeServices, Inc. management is responsibkbr compliancIeWithits statements.

My review was conducted in accordance with the standaAccounting Oversight Hoard (United States) and; 'accordinglyrequired procedures to obtain evidence about Rockfleet!Fifiancwith the exemption provisions. A review is substantially less ithe objective of which is the expression of an opini oAce',Aingly;-I do not express such'an opinion.. ' !.

' 1Bmpdon,my review, I -am. not aware :of, any material niodificamanagement's statements referredto, above for therm to be fairlybased;on the provisions set forth in.p4r4graph (k)(2)(ii) pf RulExchange Act of 1934:

1Vlchael .~'. Rj, emus; CPAHamilton Square, New ,Jersey . t

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,June.9, 2016.

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)UNTING FIRMIt

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mpanying Schedule .Ition for Determ atio''l) Rockfleet Financial

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•i; +50-3(k) under. icC:F.R. §240.15c3-3. '

inancial %Services ~ Ind.':. ! :•~i..'exemption.;provisiA'~ I ' f ••. ;,

ale •III Info.; nati6h fb~ji). Rockfleet Final cia.mption provisions and

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the Public''Cornpanled inquirie'{ d!bbthej.vices, Inc. Compl~anC

e than an examin tion, ' j~. ,agemeAt's statements. )

;at should §e ,ma4e- id

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ROCKFLEET FINANCIAL SERVIC~S, IN<

E REQUIREMENTS

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pursuant to Rule IS 3ule 15c 3r3 s~bmittd baces exist which % oul

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claim for; ex6ptigb ;~1' :~' : ..~,:~I• ;;•.,;

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ROCKFLEET FINANCIAL SE RYICI S I !

SCHEDULE III INFORMATION RELATING Td POSS SSItREQUIREMENTS (EXEMPTION

PURSUANT TO RULE 15c 3-3.of the Securities and E chi.

as of March 31, 2016 1jEXEMPT UNDER 156-3 ;(k)(2)(i )

Pursuant to rule 15c 3-3 relatingto possession or control requiremen s,RoInc. clears on a fully disclosed basis, and possession and control is and14Company. The Company has not engaged in the clearing for tradii g ofhold customer funds of securities during the year ended March 31, 20.1exemption to this schedule pursuant to paragraph (k)(2)(ii)*of KC,minimum net capital requirement pursuant to paragraph (a)(2)(v) of. '$50,000. ..... ( '

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fleetFinancal Services;.1 through First Sout4wgt:

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y securities;•and di;'i nod,-• 'I !,•...~nd therefore, is claiinin~.

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Rockfleet Financial Services, It

Exemption Report pursuant toil SEC IFor the Year Ended March 31,

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~IRockfleet Financial Services, Inc. (the "Company") is a reg

to Rule 17a-5 promulgated by the. Securities and Excliang

240.17a-5, "Reports to be made by certain broker dealers").

prepared as required by. 17• C.F.R & 240. 17a=5(d) 0)

.knowledge and belief for the year ended March 31, 201 E

following: t

I• The Company- claimed an exemption. from 17 C.FR

following provision of 17• C.F.R &, 150-3(k)(2)(i)

• Management is. responsible for compliance. with the e

Company met the requirements of the identified exem

the most recent fiscal year without exception. i

I, Catherine Mary Carrigan, swear (or-affirm) that, to mylbest

Exemption Report is true and correct: i

May 24, 201 6,

By:

Catherine Mary Corrigan'President ✓ Chief Executive Office

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xemption Report was" ''•':. ;

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