Full text of ASHTON STEWART & CO., INC.'s X-17A-5 filed 2023-03-29 (period 2022-12-31). 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: 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | hours per response: 12 | | |------------------------|--| | SEC FILE NUMBER | | | 8-53239 | | # **FACING PAGE Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING \_\_\_ 0\_1/\_0\_1\_/2\_2 \_\_\_ AND ENDING \_\_\_ 12\_/\_3\_1/\_2\_2 \_\_ \_ MM/DD/YY MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: \_\_\_\_ A\_s\_h\_to\_n\_S\_te\_w\_a\_rt\_&\_C\_o\_.\_, \_ln\_c\_. --------------- TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer D Security-based swap dealer □ Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 1395 Brickell Ave,m Suite 800 {No. and Street} Miami FL (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 33131 (Zip Code) Ana R. Carter 813-442-1645 ana@cartanaconsulting.com (Name) (Area Code - Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Goldman & Company, CPA's, P.C. (Name - if individual, state last, first, and middle name) 3535 Roswell Rd., Ste 32 Marietta GA (Address) (City) (State) 06/25/2009 l" of'"'"'""'" with PCAOB)(if appliQble) **FOR OFFICIAL USE ONLY** 1952 30062 (Zip Code) \* Claims for exemption from the requirement that the annual reports be covered by t h e 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 in this form are not required to respond unless the form displays a currently valid 0MB control number. {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, | Ana R. Carter | | , swear (or affirm) that, to the best of my knowledge and belief, the | | |----|--------------------------------------------|----|-----------------------------------------------------------------------------------|-------| | | financial report pertaining to the firm of | | Ashton Stewart & Co., Inc. | as of | | | De…Read the full text as markdown