Full text of ASHTON STEWART & CO., INC.'s X-17A-5 filed 2024-03-25 (period 2023-12-31). 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** # **ANNUAL REPORTS FORM X-17A-5 PART Ill** | 0MB APPROVAL | | |--------------------------|--| | 0MB Number: 3235-0123 | | | Expires: Nov. 30, 2026 | | | Estimated average burden | | | hours per response: 12 | | | | | SEC FILE NUMBER 8-53239 **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 **O 1/01/2023** MM/DD/VY AND ENDING **12/31/2023** MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: Ashton Stewart & Co., Inc. TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer □ Security-based swap dealer D 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.) 1395 Brickell Ave., Suite 800 (No. and Street) Miami FL 33131 (City) (St ate) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING 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 Roswel I Rd., Ste 32 Marietta GA 30062 (Address) (City) (State) (Zip Code) 06/25/2009 1952 l" of Reglstrntioo with PCAOBJ(;f appUcable) **FOR OFFICIAL USE ONLY** (PCAOB ReglmaMo N"mbe,, ;f appUcable) I \* Claim~ for exemption from the requirement thi:lt t he e1nnue11 repom be covered by the repom of e1n 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-S{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 | Ana R. Carter | swear (or affirm) that, to the best of my knowledge and belief, the | |---------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | financial report pertaining to the firm…Read the full text as markdown