Full text of CALTON & ASSOCIATES, INC.'s X-17A-5 filed 2024-12-27 (period 2024-09-30). 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 | | OMB APPROVAL<br>OMB Number: 3235-0123<br>Expires: Nov. 30, 2026<br>Estimated average burden<br>hours per response: 12 | | | |-------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------|-------------------|--| | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | FORM X-17A-5 | | 8-38635 | | | | PART III | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | filing for the period beginning 10/01/2023 | | and ending | 9/30/2024 | | | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: Calton & Associates, Inc. | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>₪ 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) | | | | | lampa | L | | 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 West Kathleen Street | lampa | น | 33607 | | | (Address)<br>10/08/2019 | (City) | (State)<br>6550 | (Zip Code) | | | | | | | | | (Date of Registration with PCAOB)(if applicable)<br>(PCAOB Registration Number, if applicable)<br>FOR OFFICIAL USE ONLY | | | | | | * Claims for exemption from the requirement that the annual 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)(1)(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 OMB control num…Read the full text as markdown