Full text of CALTON & ASSOCIATES, INC.'s X-17A-5 filed 2025-12-29 (period 2025-09-30). 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 OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hour # ANNUAL REPORTS FORM X-17A-5 PART III | Ildicu aveloke bulucii<br>12<br>rs per response: | | |--------------------------------------------------|--| | SEC FILE NUMBER | | | 8-38635 | | 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 10/1/2024 AND ENDING 9/30/2025 | | | | | | | MM/DD/YY | | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: Calton & Associates, Inc. | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>_ Security-based swap dealer<br>Broker-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) | | | | | lampa | ւ | | | 33607 | | (City) | (State) | | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | David S. Cole | (813) 264-0440 | | | dcole@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) | | | | | 2504 West Kathleen Street | lampa | ﻠ | | 33607 | | (Address) | (City) | (State) | | (Zip Code) | | 10/08/2019 | | 6550 | | | | (Date of Registration with PCAOB)(if applicable) | | | | (PCAOB Registration Number, if applicable) | 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…Read the full text as markdown