# ASHTON STEWART & CO., INC. X-17A-5 (2021-03-31) — Broker-dealer annual report
- Company: ASHTON STEWART & CO., INC.
- Form: X-17A-5
- Filed: 2021-03-31
- Period: 2020-12-31
- Accession: 0001137879-21-000002
- CIK: 1137879
- File #: 8-53239
- Material weakness: No
- Auditor: Goldman & Company CPA PC
- Auditor location: Marrietta, GA
- Contact: Brent Hippert
- Phone: 443-541-8400
- Signed by: Brent Hippert (CFO)
Original filing: https://www.sec.gov/Archives/edgar/data/1137879/000113787921000002/pubfs20asci.pdf
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**UNITEDSTATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549**
OMB APPROVAL OMB Number: 3235-0123 Expires: 0DUPCFS
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| | FOR OFFICIAL USE ONLY | | | |
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*\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(e)(2)*
**Potential persons who are to respond to the collection of information contained in this form are not required to respond** SEC 1410 () **unless the form displays a currently valid OMB control number.**
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## **OATH OR AFFIRMATION**
| l, Brent Hippert | | . swear (or affirm) that, to the best of | | |
|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|------------------------------------------|--------------------------------------------------------|--|
| my knowledge and belief the accompanying financial statement and supporting schedules pertaining to tlie firm of
Ashton Stewart & Co., Inc. | | | , as | |
| of December 31 | 20 20 | | are true and correct. I further swear (or affirm) that | |
| neither the company uor any partner, proprietor, principal officer or director has any proprietary interest in any account
classified solely as that of a customer, except as follows: | | | | |
| None | | | | |
CFO Title
**CODY HAWLEY** Notary Public Anne Arundel County Maryland My Commission Expires May 11, 2022
This report\*\* contains (check all applicable boxes):
**0** (a) Facing Page.
- **0** (b) Statement of Financial Condition.
- O (c) Statement of Income (Loss) or, if there is other comprehensive income in the period(s) presented, a Statement of Compr ehensive Income (as defined in §210.1-02 of Regulation S-X).
- 0 (d) Statement ofCbanges in Financial Condition.
- **O** (e) Statement of Changes in Stockholders' Equity or Partners' or Sole Proprietors' Capital.
- **D** (t) Statement of Changes in Liabil ities Subordinated to Claims of Creditors.
-
- (h) Computation for Determin ation of Reserve Requirements Pursuant to Rule 15c3 -3.
- ~ (g) Computation of Net Capital. (i) Information Relating to the Possession or Control Requirements Under Rule 15c3-3.
- **D** (j) A Reconciliation, including appropriate explanation of the Computation ofNet Capital Under Rule I 5c3-1 and the Computation for D etermination of the Reserve Requirements Under Exhibit A of R ule 15c3-3.
- **0** (k) *A* Reconciliation between tile audited and unaudited Statements of Financial Condition with respect to metbods of consolidation.
-
- § (I) An Oath or Affirmation. (m) A copy of the SIPC Supplemental Report.
- (n) A report describing any material inadequacies found to exist or found to have existed since the date of the previous audit.
*\*\*For conditions of confidential treatment of certain portions of this filing, see section 240. l 7a-5(e)(3).*
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