Full text of ASHTON STEWART & CO., INC.'s X-17A-5 filed 2022-03-29 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 2()549 # ANNUAL REPORTS FORM X-17A-5 PART Ill | OMBAPPROVAL | | |--------------------------|--| | OMB Number. 3235-0123 | | | Expires: Oct. 31, 2023 | | | Estlmated average burden | | | hours per response: 12 | | SEC ALE NUMBER 8-53239 FACING PAGE Information Required Pursuant to Rulres 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING Q 1/01 /21 MM/00/YY AND ENDING 12/31 /21 ----------------- MM/DO /YY <sup>~</sup>REGISTRANT IDENTIFICATION NAMEOFFIRM: Ashton Stewart & Co., Inc TYPE 0 F REGISTRANT (check all applicable boxes): ~ Broker-dealer 0 Security-baSied swap dealer 0 Check here if respondent Is also an OTC derivatives dealer 0 Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P-0. box no.) 1395 Brickell Ave., Suite 800 (No. and Street) Miami FL 33131 (Cltv) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Brent Hippert 443-541-8400 l>hippert@ashtonstewart.com {Name) (Area Code - Telephone Number) (Email Address) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Goldman & Company CPA's PC | | (Name - if individual, state last, first, a | nd mlddle name) | | |--------------------------------------------------|---------------------------------------------|-----------------|--------------------------------------------| | 3535 Roswell Road, Ste 32 Atlanta | | GA | 30062 | | (Address) | (City) | (State) | (zrp Code) | | 6/2512009 | | 1952 | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, If applicable) | | | FOR OFFICIAL USE ONLY | | | | | | | | •Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accou11tant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 24 0.17a-5(e)(1)(11), if ~ppllcable. Persons who are to responcl to the collection of information contained In this form are not required to respond unless the form displays a currently valid 01\18 control number. {1}------------------------------------------------ #### OATH OR AFFIRMATION fina | ren! Hibbert | swear (or affirm) that, to the best of my knowledge and belief, the | |-------------------------------------------------------------------|------------------…Read the full text as markdown