Full text of CALTON & ASSOCIATES, INC.'s X-17A-5/A filed 2024-01-02 (period 2023-09-30). 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:<br>12 | | | | | | | SEC FILE NUMBER 8-38635 # **ANNUAL REPORTS FORM X-17A-5 PART Ill** **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING 10/01 /22 | | | AND ENDING 09/30/23 | | |---------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------|-----------------------------------------|---------------------|--------------------------------------------| | | MM/DD/VY | | | MM/DD/VY | | | A.<br>REGISTRANT IDENTIFICATION | | | | | NAME oF FIRM: Calton & Associates, Inc. | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>[!] Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | D Security-based swap dealer | D 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 | FL | | | 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*<br>Prida, Guida & Perez, P.A. | | | | | | | (Name -if individual, state last, first, and middle name) | | | | | 2504<br>West<br>Kathleen | St.<br>Tampa | | FL | 33602 | | (Address) | (City) | | (State) | (Zip Code) | | 10/08/2019 | | | 6550 | | | (Date of Registration with PCAOB)(lf 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 accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(l)(ii), if applicable. **Persons who are to respond to the collection of information contained…Read the full text as markdown