ROC GLOBAL, LLC
HeadquarterDate of last update: 14 Apr 2025. Data updated weekly.
| Entity Name: | ROC GLOBAL, LLC |
| Jurisdiction: | Connecticut |
| Legal type: | LLC |
| Citizenship: | Domestic |
| Status: | Active |
| Sub status: | Annual report past due |
| Date Formed: | 12 Jun 2009 |
| Business ALEI: | 0974734 |
| Annual report due: | 31 Mar 2025 |
| 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 |
NAICS
523150 Investment Banking and Securities IntermediationThis industry comprises establishments primarily engaged in underwriting, originating, and/or maintaining markets for issues of securities, or acting as agents (i.e., brokers) between buyers and sellers in buying or selling securities on a commission or transaction fee basis. Investment bankers act as principals (i.e., investors who buy or sell on their own account) in firm commitment transactions or act as agents in best effort and standby commitments. This industry also includes establishments acting as principals in buying or selling securities generally on a spread basis, such as securities dealers or stock option dealers. Learn more at the U.S. Census Bureau
| Type | Company Name | Company Number | State |
|---|---|---|---|
| Headquarter of | ROC GLOBAL, LLC, NEW YORK | 5205441 | NEW YORK |
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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 | 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 |
| 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 |
| 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 | - | Annual Report | Annual Report | - |
| BF-0011175775 | 2023-02-01 | - | Annual Report | Annual Report | - |
| BF-0010404518 | 2022-02-08 | - | Annual Report | Annual Report | 2022 |
| BF-0009780371 | 2021-07-18 | - | Annual Report | Annual Report | - |
| 0007178129 | 2021-02-19 | - | Annual Report | Annual Report | 2020 |
| 0006449617 | 2019-03-11 | - | Annual Report | Annual Report | 2017 |
| 0006449682 | 2019-03-11 | - | Annual Report | Annual Report | 2019 |
| 0006449666 | 2019-03-11 | - | Annual Report | Annual Report | 2018 |
| 0005851170 | 2017-05-26 | - | Annual Report | Annual Report | 2016 |
| 0005851163 | 2017-05-26 | - | Annual Report | Annual Report | 2013 |
Sources: Company Profile on Connecticut's Official State Website
* While we strive to keep this information correct and up-to-date, it is not the primary source, and the dataset source should always be referred to for definitive information