| Entity Name: | ROC GLOBAL, LLC |
| Jurisdiction: | Connecticut |
| Legal type: | LLC |
| Citizenship: | Domestic |
| Status: | Active |
| Date Formed: | 12 Jun 2009 (Companies founded in June 2009) |
| Business ALEI: | 0974734 |
| Annual report due: | 31 Mar 2025 |
| NAICS code: | 523150 - Investment Banking and Securities Intermediation |
| Business address: | 535 Fifth Ave, 4th floor, NEW YORK, NY, 10017, United States |
| Mailing address: | 535 Fifth Ave, 4th floor, NEW YORK, NY, United States, 10017 |
| Place of Formation: | NEW YORK |
| E-Mail: | art@rocgs.com |
| Type | Company Name | Company Number | State |
|---|---|---|---|
| Headquarter of | ROC GLOBAL, LLC | 5205441 | NEW YORK |
| CIK number | Mailing Address | Business Address | Phone | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
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| 1492493 | 535 FIFTH AVENUE, 4TH FLOOR, NEW YORK, NY, 10017 | 535 FIFTH AVENUE, 4TH FLOOR, NEW YORK, NY, 10017 | 646-218-9841 | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
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| Form type | FOCUSN |
| File number | 008-68605 |
| Filing date | 2024-02-16 |
| Reporting date | 2023-12-31 |
| File | View File |
Filings since 2024-02-16
| Form type | X-17A-5 |
| File number | 008-68605 |
| Filing date | 2024-02-16 |
| Reporting date | 2023-12-31 |
| File | View File |
Filings since 2023-02-17
| Form type | FOCUSN |
| File number | 008-68605 |
| Filing date | 2023-02-17 |
| Reporting date | 2022-12-31 |
| File | View File |
Filings since 2023-02-17
| Form type | X-17A-5 |
| File number | 008-68605 |
| Filing date | 2023-02-17 |
| Reporting date | 2022-12-31 |
| File | View File |
Filings since 2022-03-14
| Form type | FOCUSN/A |
| File number | 008-68605 |
| Filing date | 2022-03-14 |
| Reporting date | 2021-12-31 |
| File | View File |
Filings since 2022-03-14
| Form type | X-17A-5/A |
| File number | 008-68605 |
| Filing date | 2022-03-14 |
| Reporting date | 2021-12-31 |
| File | View File |
Filings since 2022-02-14
| Form type | FOCUSN |
| File number | 008-68605 |
| Filing date | 2022-02-14 |
| Reporting date | 2021-12-31 |
| File | View File |
Filings since 2022-02-14
| Form type | X-17A-5 |
| File number | 008-68605 |
| Filing date | 2022-02-14 |
| Reporting date | 2021-12-31 |
| File | View File |
Filings since 2021-02-26
| Form type | X-17A-5 |
| File number | 008-68605 |
| Filing date | 2021-02-26 |
| Reporting date | 2020-12-31 |
| File | View File |
Filings since 2020-02-05
| Form type | FOCUSN |
| File number | 008-68605 |
| Filing date | 2020-02-05 |
| Reporting date | 2019-12-31 |
| File | View File |
Filings since 2020-02-05
| Form type | X-17A-5 |
| File number | 008-68605 |
| Filing date | 2020-02-05 |
| Reporting date | 2019-12-31 |
| File | View File |
Filings since 2019-02-11
| Form type | FOCUSN |
| File number | 008-68605 |
| Filing date | 2019-02-11 |
| Reporting date | 2018-12-31 |
| File | View File |
Filings since 2019-02-11
| Form type | X-17A-5 |
| File number | 008-68605 |
| Filing date | 2019-02-11 |
| Reporting date | 2018-12-31 |
| File | View File |
Filings since 2018-02-14
| Form type | FOCUSN |
| File number | 008-68605 |
| Filing date | 2018-02-14 |
| Reporting date | 2017-12-31 |
| File | View File |
Filings since 2018-02-14
| Form type | X-17A-5 |
| File number | 008-68605 |
| Filing date | 2018-02-14 |
| Reporting date | 2017-12-31 |
| File | View File |
Filings since 2017-02-24
| Form type | FOCUSN |
| File number | 008-68605 |
| Filing date | 2017-02-24 |
| Reporting date | 2016-12-31 |
| File | View File |
Filings since 2017-02-24
| Form type | X-17A-5 |
| File number | 008-68605 |
| Filing date | 2017-02-24 |
| Reporting date | 2016-12-31 |
| File | View File |
Filings since 2016-02-29
| Form type | X-17A-5 |
| File number | 008-68605 |
| Filing date | 2016-02-29 |
| Reporting date | 2015-12-31 |
| File | View File |
Filings since 2016-02-29
| Form type | FOCUSN |
| File number | 008-68605 |
| Filing date | 2016-02-29 |
| Reporting date | 2015-12-31 |
| File | View File |
Filings since 2015-03-02
| Form type | FOCUSN |
| File number | 008-68605 |
| Filing date | 2015-03-02 |
| Reporting date | 2014-12-31 |
| File | View File |
Filings since 2015-03-02
| Form type | X-17A-5 |
| File number | 008-68605 |
| Filing date | 2015-03-02 |
| Reporting date | 2014-12-31 |
| File | View File |
Filings since 2014-02-19
| Form type | X-17A-5 |
| File number | 008-68605 |
| Filing date | 2014-02-19 |
| Reporting date | 2013-12-31 |
| File | View File |
Filings since 2014-02-19
| Form type | FOCUSN |
| File number | 008-68605 |
| Filing date | 2014-02-19 |
| Reporting date | 2013-12-31 |
| File | View File |
Filings since 2013-02-20
| Form type | FOCUSN |
| File number | 008-68605 |
| Filing date | 2013-02-20 |
| Reporting date | 2012-12-31 |
| File | View File |
Filings since 2013-02-20
| Form type | X-17A-5 |
| File number | 008-68605 |
| Filing date | 2013-02-20 |
| Reporting date | 2012-12-31 |
| File | View File |
Filings since 2012-02-29
| Form type | FOCUSN |
| File number | 008-68605 |
| Filing date | 2012-02-29 |
| Reporting date | 2011-12-31 |
| File | View File |
Filings since 2012-02-29
| Form type | X-17A-5 |
| File number | 008-68605 |
| Filing date | 2012-02-29 |
| Reporting date | 2011-12-31 |
| File | View File |
| Name | Role | Business address | Phone | Residence address | |
|---|---|---|---|---|---|
| JOE GAROFOLI | Officer | 295 MADISON AVENUE, 12TH FLOOR, NEW YORK, NY, 10017, United States | +1 917-455-3697 | joe@rocgs.com | 5 Molly Ln, Darien, CT, 06820-2929, United States |
| Name | Role | Business address | Mailing address | Phone | Residence address | |
|---|---|---|---|---|---|---|
| JOE GAROFOLI | Agent | 535 Fifth Ave, 4th floor, NEW YORK, NY, 10017, United States | 535 Fifth Ave, 4th floor, NEW YORK, CT, 10017, United States | +1 917-455-3697 | joe@rocgs.com | 5 Molly Ln, Darien, CT, 06820-2929, United States |
| Type | Old value | New value | Date of change |
|---|---|---|---|
| Name change | ROC GLOBAL SECURITIES, LLC | ROC GLOBAL, LLC | 2017-05-15 |
| Filing number | Filing date | Effective date | Filing category | Filing type | Report year |
|---|---|---|---|---|---|
| BF-0012281633 | 2024-02-06 | No data | Annual Report | Annual Report | No data |
| BF-0011175775 | 2023-02-01 | No data | Annual Report | Annual Report | No data |
| BF-0010404518 | 2022-02-08 | No data | Annual Report | Annual Report | 2022 |
| BF-0009780371 | 2021-07-18 | No data | Annual Report | Annual Report | No data |
| 0007178129 | 2021-02-19 | No data | Annual Report | Annual Report | 2020 |
| 0006449617 | 2019-03-11 | No data | Annual Report | Annual Report | 2017 |
| 0006449682 | 2019-03-11 | No data | Annual Report | Annual Report | 2019 |
| 0006449666 | 2019-03-11 | No data | Annual Report | Annual Report | 2018 |
| 0005851170 | 2017-05-26 | No data | Annual Report | Annual Report | 2016 |
| 0005851163 | 2017-05-26 | No data | Annual Report | Annual Report | 2013 |
Date of last update: 11 Nov 2024
Sources: Connecticut's Official State Website
