Full text of CALTON & ASSOCIATES, INC.'s X-17A-5 filed 2022-12-21 (period 2022-09-30). 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. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | SEC FILE NUMBER | | |-----------------|--| | 8-38635 | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | | | | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------|-------------------|--|--|--|--|--| | AND ENDING 09/30/22<br>FILING FOR THE PERIOD BEGINNING 10/01 /21 | | | | | | | | | | | MM/DD/YY | | MM/DD/YY | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | NAME oF FIRM: Calton & Associates, Inc. | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>D Security-based swap dealer<br>D Major security-based swap participant<br>C!J Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | | | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | | | 2701 N. Rocky Point Dr., Ste.1000 | | | | | | | | | | | (No. and Street) | | | | | | | | | Tampa | | 33607 | | | | | | | | (City) | (State) | | (Zip Code) | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | | Fernando Fussa | 813-264-0440 | | ffussa@calton.com | | | | | | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | | | Prida, Guida & Perez, P.A. | | | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | | 1106 North Franklin Street | Tampa | FL | 33602 | | | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | | | 10/08/2019 | | 33602 | | | | | | | | | | | | | | | | | | | 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. **Pers…Read the full text as markdown