# EDGAR Filing Document

**Accession Number:** 0000084935
**File Stem:** 0000084935-23-000003
**Filing Date:** 2023-1
**Character Count:** 13299
**Document Hash:** 4d48b212f8dfdb3e80eed133ed63bc21
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000084935-23-000003.hdr.sgml**: 20230110

**ACCESSION NUMBER**: 0000084935-23-000003

**CONFORMED SUBMISSION TYPE**: MA-A

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230105

**DATE AS OF CHANGE**: 20230110

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** ROOSEVELT & CROSS, INCORPORATED
- **CENTRAL INDEX KEY:** 0000084935
- **IRS NUMBER:** 132728032
- **STATE OF INCORPORATION:** NY
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA-A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-00559
- **FILM NUMBER:** 23520297

**BUSINESS ADDRESS:**
- **STREET 1:** ONE EXCHANGE PLAZA
- **STREET 2:** 55 BROADWAY
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10006
- **BUSINESS PHONE:** 212-344-2500

**MAIL ADDRESS:**
- **STREET 1:** ONE EXCHANGE PLAZA
- **STREET 2:** 55 BROADWAY
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10006

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** ROOSEVELT & CROSS, Inc
- **DATE OF NAME CHANGE:** 20170403

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** ROOSEVELT & CROSS, INCORPORATED
- **DATE OF NAME CHANGE:** 20170104

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** ROOSEVELT & CROSS, Inc
- **DATE OF NAME CHANGE:** 20160902

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0000084935

**Filer CCC:** XXXXXXXX

**Contact Name:** Matthew J. Campolettano

**Contact Phone:** 2125049264

**Contact Email:** mcampolettano@roosevelt-cross.com

**Notification Emails:** dmoore@roosevelt-cross.com

### Type of Filing

**Selected Filing Type:** Annual Update

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** ROOSEVELT & CROSS, INCORPORATED

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 6964

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 13-2728032

**D. Registrations:**

- **Municipal Advisor (Temporary):** SEC File No: 866-00310-00

- **Municipal Advisor:** SEC File No: 867-00559

- **Broker-Dealer:** SEC File No: 008-19363, CRD No: 6964

- **Other:** Description: MSRB, ID: A1218

**E. Principal Office and Place of Business:** ONE EXCHANGE PLAZA, 55 BROADWAY, NEW YORK, NY, 10006

**Telephone Number:** 212-344-2500

**Mailing Address is Different from Principal Office:** No

**F. Website:** www.roosevelt-cross.com

**G. Chief Compliance Officer (CCO):**

**Name:** Matthew Joseph Campolettano

**Titles:** Chief Compliance Officer

**Address:** c/o Roosevelt & Cross Inc., One Exchange Plaza, 55 Broadway, New York, NY, 10006

**Phone Number:** 212-504-9264

**Email:** mcampolettano@roosevelt-cross.com

**I. Location of Books and Records:** No

### Item 2: Form of Organization

**A. Applicant's form of organization:** Corporation

**B. Month of Applicant's Annual Fiscal Year End:** December

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** NY

**D. Date of Organization:** 04-22-1946

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 38

**B. Municipal Advisory Activities - Employees:** 4

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 4

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 0

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 1

**&nbsp;&nbsp;&nbsp;Types of Clients:** Municipal Entities

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Not Applicable
, Not Applicable

**I. Compensation Arrangements (Municipal Advisory):** 
Fixed Fees
, Fixed Fees

**J. Compensation Arrangements (Solicitation):** 
Not Applicable
, Not Applicable

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Advice Insurance Of MS, Advice Use Of MD, Advice On Selection, Other

### Item 5: Other Business Activities

- **Broker-Dealer:** Actively Engaged: Yes, Primary Business: Yes

**Is applicant engaged in any other non-municipal advisor business?** No

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** 

**Total Associated Persons:** 0

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** No

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** No

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** No

- **Have discretionary authority to buy/sell municipal securities for clients?:** No

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** No

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** Yes

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** No

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** No

- **Applicant/Advisory Affiliate Charged with Felony?:** No

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** Yes

- **SEC/CFTC Found Violation?:** Yes

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** Yes

- **SEC/CFTC Imposed Civil Penalty?:** Yes

- **SRO Found Unethical Conduct?:** No

- **SRO Found Violation?:** No

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** No

- **SRO Denied/Suspended/Revoked Registration?:** No

- **Foreign Authority Found False Statement?:** No

- **Foreign Authority Found Violation?:** Yes

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** No

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** No

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** No

- **Found to Have Violated Regulations?:** No

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** No

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** No

### Schedule A: Direct Owners and Executive Officers

| Name                        | Title/Status                | Date Acquired   | Ownership Code            | Control Person?   |   CRD Number |
|:---|:---|:---|:---|:---|---:|
| JOHN MADDEN FARAWELL        | DIRECTOR                    | 09-01-1997      | A - 5% but less than 10%  | Yes               |      1018554 |
| FRANCIS GREGORY FINN        | CHAIRMAN OF THE BOARD & CEO | 09-11-2020      | C - 25% but less than 50% | Yes               |      1019346 |
| PAUL THEODORE LAMAS         | DIRECTOR                    | 01-01-2013      | A - 5% but less than 10%  | Yes               |      2062821 |
| THOMAS NMN VIGORITO         | MATERIAL OWNER              | 09-11-2020      | A - 5% but less than 10%  | Yes               |      1122952 |
| WILLIAM WALTER WELSH        | MATERIAL OWNER              | 09-11-2020      | B - 10% but less than 25% | Yes               |      1602929 |
| DAVID WILLIAM MOORE         | COO, SENIOR VICE PRESIDENT  | 01-01-2013      | NA - less than 5%         | No                |      2209528 |
| MATTHEW JOSEPH CAMPOLETTANO | CCO, SENIOR VICE PRESIDENT  | 04-01-2017      | NA - less than 5%         | No                |      4579393 |
| DAVID ANTHONY GILMAN        | CFO, VICE PRESIDENT         | 04-01-2017      | NA - less than 5%         | No                |      1180577 |
| Elaine Marie Brennan        | Director                    | 01-01-2019      | A - 5% but less than 10%  | Yes               |       720043 |
| David Charles Wagner        | Director                    | 01-01-2019      | A - 5% but less than 10%  | Yes               |      4249755 |
| Charles Clement Stavitski   | Director                    | 01-12-2021      | NA - less than 5%         | Yes               |      5435642 |
| Scott Thomas Monahan        | Director                    | 01-12-2021      | NA - less than 5%         | Yes               |      4882785 |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity   | Name                        | Title/Status                | Date Acquired   | Ownership Code            | Control Person?   |   CRD Number |
|:---|:---|:---|:---|:---|:---|:---|:---|---:|
|  | Direct      |  | JOHN MADDEN FARAWELL        | DIRECTOR                    | 09-01-1997      | A - 5% but less than 10%  | Yes               |      1018554 |
|  | Direct      |  | FRANCIS GREGORY FINN        | CHAIRMAN OF THE BOARD & CEO | 09-11-2020      | C - 25% but less than 50% | Yes               |      1019346 |
| Amend  | Direct      |  | PAUL THEODORE LAMAS         | Material Owner              | 01-01-2013      | A - 5% but less than 10%  | No                |      2062821 |
| Delete | Direct      |  | THOMAS NMN VIGORITO         | MATERIAL OWNER              | 09-11-2020      | A - 5% but less than 10%  | Yes               |      1122952 |
| Amend  | Direct      |  | WILLIAM WALTER WELSH        | MATERIAL OWNER              | 09-11-2020      | B - 10% but less than 25% | No                |      1602929 |
|  | Direct      |  | DAVID WILLIAM MOORE         | COO, SENIOR VICE PRESIDENT  | 01-01-2013      | NA - less than 5%         | No                |      2209528 |
|  | Direct      |  | MATTHEW JOSEPH CAMPOLETTANO | CCO, SENIOR VICE PRESIDENT  | 04-01-2017      | NA - less than 5%         | No                |      4579393 |
|  | Direct      |  | DAVID ANTHONY GILMAN        | CFO, VICE PRESIDENT         | 04-01-2017      | NA - less than 5%         | No                |      1180577 |
|  | Direct      |  | Elaine Marie Brennan        | Director                    | 01-01-2019      | A - 5% but less than 10%  | Yes               |       720043 |
|  | Direct      |  | David Charles Wagner        | Director                    | 01-01-2019      | A - 5% but less than 10%  | Yes               |      4249755 |
|  | Direct      |  | Charles Clement Stavitski   | Director                    | 01-12-2021      | NA - less than 5%         | Yes               |      5435642 |
|  | Direct      |  | Scott Thomas Monahan        | Director                    | 01-12-2021      | NA - less than 5%         | Yes               |      4882785 |

### Disclosure Reporting Pages (DRPs)

**Regulatory DRP for: Applicant (Responding to Questions: 9-C1, 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for ROOSEVELT & CROSS INCORPORATED

- **CRD Number:** 6964

- **Disclosure Number:** 1864037

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Roosevelt & Cross, Inc.

- **CRD Number:** 6964

- **Disclosure Number:** 1781201

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Roosevelt & Cross, Inc.

- **CRD Number:** 6964

- **Disclosure Number:** 752528

### Execution Page

**Signature:** Matthew Campolettano

**Signer Name:** Matthew Campolettano

**Title:** CCO

**Date:** 01-05-2023

**CRD Number:** 6964