Full text of CALTON & ASSOCIATES, INC.'s X-17A-5/A filed 2022-12-29 (period 2022-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | OMD APPROVAL<br>OMB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden | | |--------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------|------------------|---------------------------------------------------------------------------------------------|--| | | ANNUAL REPORTS | | hours per response:<br>-12 | | | FORM X-17A-5 | | | SEC FILE NUMBER | | | | PART III | | 8-38635 | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | | FILING FOR THE PERIOD BEGINNING 10/01/21 | | | AND ENDING 09/30/22 | | | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: Calton & Associates, Inc. | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Droker-dealer - Security-based swap dealer<br>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.) | | | | | | 2701 N. Rocky Point Dr., Ste. 1000 | | | | | | | (No. and Street) | | | | | Tampa | EL | | 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) | | (Emall Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing *<br>Prida, Guida & Perez, P.A. | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 1106 North Franklin Street | Tampa | EL | 33602 | | | (Address)<br>10/08/2019 | (City) | (State)<br>33602 | (Zip Code) | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | | FOR OFFICIAL USE ONLY | | | | CFR 240.17a-5(e){1}(il), 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 OMB control number. {1}------------------------------------------------ ## OATH OR AFFIRMATION I. Fernando Fussa swear (or affirm) that, to the best of my knowledge…Read the full text as markdown