Full text of CARILLON FUND DISTRIBUTORS, INC.'s X-17A-5 filed 2022-11-22 (period 2022-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### **UNITED STATES** OMB APPROVAL **SECURITIES AND EXCHANGE COMMISSION** OMB Number: 3235-0123 **Washington, D.C. 20549** Expires: October 31, 2023 # **ANNUAL REPORTS** hours per response.. . . . 12.00 **FORM X-17A-5** | Estimated average burden | | | |--------------------------|--|--| | | | | | PART III | SEC FILE NUMBER | | | |----------|-----------------|--|--| | | 8-67244 | | | **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 | | 10/01/2021<br>MM/DD/YY | AND ENDING | | 09/30/2022<br>MM/DD/YY | |--------------------------------------------------------------------------------------------------------------------------------|---------------------------------|--------------------------------------------------------|--------------------------------------------|---------------------------------|------------------------| | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: | | Carillon Fund Distributors, Inc. | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>☒ Broker-dealer<br>☐ Security-based<br>☐ Check<br>here<br>if<br>respondent | swap<br>is<br>also<br>an<br>OTC | dealer<br>☐ Major<br>derivatives<br>dealer | security-based<br>swap | participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. box no.) | | | | | | | 880 Carillon Parkway | | | | | | | | | (No. and Street) | | | | | Saint Petersburg | | Florida | | 33716 | | | (City) | | (State) | | (Zip Code) | | | PERSON TO CONTACT IN REGARD TO THIS FILING | | | | | | | Marshall Ollia | | 727-567-1000 | | marshall.ollia@raymondjames.com | | | (Name) | | (Area Code - Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>KPMG LLP | | | | | | | | | (Name - if individual, state last, first, middle name) | | | | | 100 North Tampa Street Suite 1700 | | | Tampa | Florida | 33602 | | | (Address) | | (City) | (State) | (Zip Code) | | | | | 185 | | | | | | | (PCAOB Registration Number, if applicable) | | | | 10/20/2003<br>(Date of Registration with PCAOB, if applicable) | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable. **Persons who are to respond t…Read the full text as markdown