# CARILLON FUND DISTRIBUTORS, INC. X-17A-5 (2024-11-26) — Broker-dealer annual report - Company: CARILLON FUND DISTRIBUTORS, INC. - Form: X-17A-5 - Filed: 2024-11-26 - Period: 2024-09-30 - Accession: 0001353057-24-000004 - CIK: 1353057 - File #: 8-67244 - Type: Broker-dealer - Material weakness: No - Auditor: KPMG - Auditor location: Tampa, FL - Contact: Marshall Ollia - Phone: 727-567-3601 - Email: marshall.ollia@raymondjames.com - Website: raymondjames.com - Signed by: Marshall Ollia (Chief Financial Officer) Original filing: https://www.sec.gov/Archives/edgar/data/1353057/000135305724000004/CFDPublic.pdf --- {0}------------------------------------------------ Carillon Fund Distributors®, Inc., Member FINRA. # **STATEMENT OF FINANCIAL CONDITION** (Audited) September 30, 2024 {1}------------------------------------------------ ### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | | OMB APPROVAL | | |----------------------------|--------------|-----------| | OMB Number: | | 3235-0123 | | Expires: November 30, 2026 | | | | Estimated average burden | | | | hours per response 12.00 | | | # ANNUAL REPORTS FORM X-17A-5 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 | 10/1/2023 | AND ENDING | | 9/30/2024 | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|---------------------------------------|--------------------------------------------|------------| | | MM/DD/YY | | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: | Carillon Fund Distributors, Inc. | | | | | TYPE OF REGISTRANT (check all applicable boxes):
□ Security-based swap dealer
& Broker-dealer
C Check here if respondent is also an OTC derivatives dealer | | Major security-based 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 IDENTIBICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*
KPMG LLP | | | | | | | (Name - if individual, state last, first, middle name) | | | | | 100 North Tampa Street Suite 1700 | | Tampa | Florida | 33602 | | (Address) | | (City) | (State) | (Zip Code) | | 10/20/2003 | | 185 | | | | (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 for the exemption. See 17 CFR 240.17-5(e)(1)(i), 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 OMB control number. {2}------------------------------------------------ ### OATH OR AFFIRMATION I, Marshall Ollia, officer of Carillon Fund Distributors, Inc., swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of Carillon Fund Distributors, Inc., as of September 30, 2024, is true and correct. I further swear (or affirm) that neither the company nor any partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classified solely as that of a customer. TIM FOOTLICK Notary Public - State of Florida Commission # HH 580421 My Comm. Expires Sep 29, 2028 Bonded through National Notary Assn. Signature Chief Financial Officer Title: Notary Public ### This filing\*\* contains (check all applicable boxes): - (a) Statement of financial condition. - [ (b) Notes to consolidated statement of financial condition. - [ (c) Statement of income (loss) or, if there is other comprehensive income in the period(s) presented, a statement of comprehensive income (as defined in § 210.1-02 of Regulation S-X). - O (d) Statement of cash flows. - [ (e) Statement of changes in stockholders' or partners' or sole proprietor's equity. - [ (f) Statement of changes in liabilities subordinated to claims of creditors. - [ (g) Notes to consolidated financial statements. - [ (h) Computation of net capital under 17 CFR 240.15c3-1 or 17 CFR 240.18a-1, as applicable. - [ (i) Computation of tangible net worth under 17 CFR 240.18a-2. - [i) Computation for determination of customer reserve requirements pursuant to Exhibit A to 17 CFR 240.15c3-3. - D (k) Computation for determination of security-based swap reserve requirements pursuant to Exhibit B to 17 CFR 240.1503-3 or Exhibit A to 17 CFR 240.18a-4. as applicable. - (1) Computation for Determination of PAB Requirements under Exhibit A to § 240.15c3-3. - [m) Information relating to possession or control requirements for customers under 17 CFR 240.15c3-3. - I (n) Information relating to possession or control requirements for security-based swap customers under 17 CFR 240.15c3-3(p)(2) or 17 CFR 240.18a-4. as annlicable. - O (o) Reconciliations, including appropriate explanations, of the FOCUS Report with computation of net capital or tangible net worth under 17 CFR 240.15c3-1, 17 CFR 240.18a-1, or 17 CFR 240.18a-2, as applicable, and the reserve requirements under 17 CFR 240.15c3-3 or 17 CFR 240.18a-4, as applicable, if material differences exist, or a statement that no material differences exist - [p) Summary of financial data for subsidiaries not consolidated in the statement of financial condition - (q) Oath or affirmation in accordance with 17 CFR 240.17a-12, or 17 CFR 240.17a-12, or 17 CFR 240.18a-7, as applicable. - [ (r) Compliance report in accordance with 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable. - [s) Exemption report in accordance with 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable. - [ (t) Independent public accountant's report based on an examination of the statement of financial condition. - [1) Independent public accountant's report based on an examination of the financial statements under 17 CFR 240.17a-5, 17 CFR 240.18a-7, or 17 CFR 240.17a-12, as applicable. - [ (v) Independent public accountant's report based on an examination of certain statements in the compliance report under 17 CFR 240.17a-5 or 17 CFR 240.18a-7. as applicable. - [w) Independent public accountant's report based on a review of the exemption report under 17 CFR 240.17a-5 or 17 CFR 240.18a-7. as applicable. - [ (x) Supplemental reports on applying agreed-upon procedures, in accordance with 17 CFR 240.15c3-1e or 17 CFR 240.17a-12, as applicable. - D (y) Report describing any material inadequacies found to have existed since the date of the previous audi, or a statement that no material inadequacies exist. under 17 CFR 240.17a-12(k). - [ (z) Other: \*\* To request confidential treatment of certain portions of this filing, see 17 CFR 240.17a-5(e)(3) or 17 CFR 240.18a-7(d)(2), as applicable. {3}------------------------------------------------ # CARILLON FUND DISTRIBUTORS, INC. (a wholly owned subsidiary of Eagle Asset Management, Inc.) ## STATEMENT OF FINANCIAL CONDITION ### September 30, 2024 ### SUMMARY OF CONTENTS - A. Officer Certification and Oath or Affirmation - B. Report of Independent Registered Public Accounting Firm - C. Statement of Financial Condition as of September 30, 2024 - D. Notes to Statement of Financial Condition {4}------------------------------------------------ ![](_page_4_Picture_0.jpeg) KPMG LLP Suite 1700 100 North Tampa Street Tampa, FL 33602-5145 ## **Report of Independent Registered Public Accounting Firm** To the Stockholder and the Board of Directors Carillon Fund Distributors, Inc.: ### *Opinion on the Financial Statement* We have audited the accompanying statement of financial condition of Carillon Fund Distributors, Inc. (the Company) as of September 30, 2024, and the related notes (collectively, the financial statement). In our opinion, the financial statement presents fairly, in all material respects, the financial position of the Company as of September 30, 2024, in conformity with U.S. generally accepted accounting principles. ### *Basis for Opinion* This financial statement is the responsibility of the Company's management. Our responsibility is to express an opinion on this financial statement based on our audit. We are a public accounting firm registered with the Public Company Accounting Oversight Board (United States) (PCAOB) and are required to be independent with respect to the Company in accordance with the U.S. federal securities laws and the applicable rules and regulations of the Securities and Exchange Commission and the PCAOB. We conducted our audit in accordance with the standards of the PCAOB. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statement is free of material misstatement, whether due to error or fraud. Our audit included performing procedures to assess the risks of material misstatement of the financial statement, whether due to error or fraud, and performing procedures that respond to those risks. Such procedures included examining, on a test basis, evidence regarding the amounts and disclosures in the financial statement. Our audit also included evaluating the accounting principles used and significant estimates made by management, as well as evaluating the overall presentation of the financial statement. We believe that our audit provides a reasonable basis for our opinion. ![](_page_4_Picture_9.jpeg) We have served as the Company's auditor since 2006. Tampa, Florida November 26, 2024 {5}------------------------------------------------ ### **%"!(!&'%('"%&! -.D5<99F | | &4248E01;4B5A><0558;80C43 | | &4248E01;4B5A><0558;80C4B |
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G%'#%','%!&'"!&** +4?0AC828?0C48=A4;0C43?0ACHCA0=B02C8>=BF8C70558;80C4B (74A4248E01;45A><0558;80C4B8B 0C'4?C4<14A (7410;0=248=2;D34B A4248E01;45A><& 0A8B8=65A><5434A0;0=3BC0C48=2><4C0G4B0=3 A4248E01;45A>< >C74A0558;80C4B5>AC74D=?083?>AC8>=>50;;>C74AA4;0C43?0ACHCA0=B02C8>=B (74 ?0H01;4C>0558;80C4B8B 0C'4?C4<14A (74 10;0=248=2;D34B >5 38BCA81DC8>= 544B ?0H01;4C> 1A>:4A340;4A 0558;80C4B F8C7 C74 A4<08=34A ?0H01;4 C> >C74A 0558;80C4B 5>A C74 D=?083 ?>AC8>= >5 0;; >C74A A4;0C43 ?0ACH CA0=B02C8>=B (74A4;0C43?0ACHCA0=B02C8>=BC70CA4BD;C8=C74B4?0H01;4B0=3A4248E01;4B0A4B4CC;43<>=C7;HF8C720B7CA0=B54AB {8}------------------------------------------------ ### NOTE 4-FEDERAL AND STATE INCOME TAXES The cumulative effects of temporary differences that give rise to significant portions of the deferred tax as as follows: | | September 30, 2024 | |-------------------------------|--------------------| | Deferred tax assets: | | | Property and equipment | 1,144 | | Deferred compensation | 47,375 | | Accrued expenses | 1,191 | | Total deferred tax asset, net | 49.710 | At September 30, 2024, we recognized no liability for unrecognized tax benefits. We are included in the consolidated income tax returns of RJF in the U.S. federal jurisdiction and certain consolidated states. With few exceptions, we are generally no longer subject to U.S. federal income tax examination by tax authorities for fiscal years prior to fiscal 2021, and fiscal years prior to fiscal 2020 for state and local tax returns are currently under various stages of audit and appeals processes. ### NOTE 5-COMMITMENTS AND CONTINGENCIES In the normal course of our business, we have been named, from time to time, as a defendant in various legal actions arising in connection with our activities. We are subject to regular reviews and inspections by regulatory authorities and self-regulatory organizations. Reviews can result in the imposition of sanctions for regulators, ranging from non-monetary censures to fines and, in serious cases, temporary or permanent suspension from conducting business, or limitations on certain business activities. In addition, regulatory agencies and self-regulatory organizations institute investigations from time to time, among other things, into industry practices, which can also result in the imposition of such sanctions. We may contest liability and/or the amount of damages, as appropriate, in each pending matter. The level of litigation and investigatory activity (both formal and informal) by government and self-regulatory agencies in the financial services industry continues to be significant. As of September 30, 2024 there were no pending litigation, claims or proceedings. However, there can be no assurance that material losses will not be incurred from claims that have not yet been asserted. Refer to Note 2 for a discussion of our criteria for recognizing liabilities for contingencies. ### NOTE 6 - NET CAPITAL REQUIREMENTS As a registered broker-dealer, we are subject to the requirements of the Uniform Net Capital Rule (Rule 15c3-1) under the Securities Exchange Act of 1934. As a member firm of FINRA, we are subject to the rules of FINRA, whose capital requirements are substantially the same as Rule 15c3-1 provides for an "alternative net capital requirement"," which we have elected. Regulations require that the minimum net capital, as defined, be equal to the greater of \$250,000 or two percent of aggregate debit items arising from client transactions. At September 30, 2024, we had no aggregate debit items and, therefore, the minimum net capital of \$250,000 is applicable. Our net capital position is as follows: | | September 30, 2024 | | | |-----------------------------|--------------------|-----------|--| | | | | | | Net capital | S | 9,318,721 | | | Less: Required net capital | | (250,000) | | | Excess net capital | S | 9,068,721 | | {9}------------------------------------------------ ### NOTE 7 - SUBSEQUENT EVENTS\_ The firm has evaluated subsequent events from the balance sheet date through November 26, 2024, the date at which the Statement of Financial Condition were to be issued. {10}------------------------------------------------ INTERNATIONAL HEADQUARTERS: THE RAYMOND JAMES FINANCIAL CENTER 880 CARILLON PARKWAY // ST. PETERSBURG, FL 33716 // 800.248.8863 LIFEWELLPLANNED.COM Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.