Full text of CALTON & ASSOCIATES, INC.'s X-17A-5 filed 2021-11-24 (period 2021-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED ST ATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response ...... 12.00 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | SEC FILE NUMBER | |-----------------| | 8-38635 | **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | -----<br>----<br>REPORT FOR THE PERIOD BEGINNING 10/1/2020 | | | ----------<br>AND ENDING 9/30/2021 | | |--------------------------------------------------------------------------------------------------------|-------------------------------------------------------|---------|------------------------------------|--| | - | -<br>MM/DD/ Y Y | | -<br>MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME oF BROKER-DEALER: Calton & Associates, Inc. | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | 2701 N. Rocky Point Dr., Ste. 1000 | | | | | | | (No. and Street) | | | | | Tampa | FL | | 33607 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>David S. Cole | | | (813) 264-0440 | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNT ANT IDENTIFICATION | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>Prida, Guida & Perez, P.A. | | | | | | | (Name - if individual, state last,jirst, middle name) | | | | | 1106 North Franklin Street | Tampa | FL | 33602 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | I<br>✓<br>Certified Public Accountant | | | | | | Public Accountant | | | | | | a<br>Accountant not resident in United States or any of its possessions. | | | | | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstam;es relied on as the basis for the exemption. See Section 240.17a-5(e)(2)* | | SEC 1410 (11-05) | |--|------------------| **Potential 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}------------------------------…Read the full text as markdown