Full text of CARTER, TERRY & COMPANY, INC.'s X-17A-5 filed 2022-03-28 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ PUBLIC **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL REPORTS FORM X-17A-5 PART** Ill **FACING PAGE** OMS APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-33797 **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **JANUARY** 1, **2021** MM/DD/YY AND ENDING DECEMBER 31, 2021 MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: \_\_ C\_A\_R\_T\_E\_R\_T\_E\_R\_R\_Y\_&\_C\_O\_M\_P\_A\_N\_Y\_, **\_IN\_C\_.** --- TYPE OF REGISTRANT (check all applicable boxes): **l!!l** Broker-dealer □ Security-based swap dealer □ Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 3060 PEACHTREE ROAD, SUITE 1200 (No. and Street) ATLANTA GEORGIA 30305 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING TIM TERRY 404-364-2070 TTERRY@CARTERTERRY.COM {Name} (Area Code-Telephone Number) (Email Address) **8. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* OHAB AND COMPANY, PA (Name - if individual, state last, first, and middle name) 100 E SYBELIA AVE, SUITE 130 **MAITLAND** FL 32751 (Address) (City) {State) (Zip Code) JULY 28, 2004 1839 **FOR OFFICIAL USE ONLY** \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)[ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number. {1}------------------------------------------------ # **OATH OR AFFIRMATION** | 1. | TIMOTHY TERRY | | |----|---------------|--| | | | | | I, TIMOTHY TERRY | swear (or affirm) that, to the best of my knowledge and belief, the | | |---------------------------------------------|-----------------------------------------------------------------------------------|-------| | financia I report pertaining to the firm of | CARTER TERRY & COMPANY, INC. | as of | | 2~<br>DECEMBER 31 | is true and correct. I further swear (or affirm) that neither the company nor…Read the full text as markdown