Full text of GALT FINANCIAL GROUP, INC.'s X-17A-5 filed 2021-03-31 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITEDSTATES** SECURITIES **AND EXCHANGE COMMISSION Wasbington,D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hoursoerr .. . ... 12.00 # **ANNUAL AUDITED REPORT F'ORM X-17A-5 PART Ill** # SEC FILE NUMBER 8-67863 #### **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Excha~ge Act of 1934 and Rule 17a-5 Thereunder** | A. REGISTRANT IDENTIFICATION<br>NAME OF BROKER-DEALER: Galt Financial Group, Inc.<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>2629 Townsgate Road, Suite 215 | MM/DD/YY | | ------<br>--<br>-<br>-<br>MM/DD/YY | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|------------|------------------------------------|--| | | | | | | | | | | | | | | | | OFFICIAL USE ONLY<br>FIRM I.D. NO. | | | | | | | | | | | | | | | | (No. and Street) | | | | | Westlake Village | California | | 91361 | | | (City) | (State) | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Benjamin Hill | | | (805)449-1132 | | | | | | (Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report*<br>RBSM, LLP. | (Name - if individual, state last, first, middle name) | | | | | 805 Third Avenue, Suite 1430<br>New York | | NY | 10022 | | | (Address)<br>(City) | | (State) | (Zip Code) | | | CHECKONE: | | | | | | !certified Public Accountant | | | | | | Public Accountant | | | | | | B<br>Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | *\*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)* SEC 1410 (11-05) • **Potential 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 oumber.** {1}------------------------------------------------ ### **OATH OR AFFIRMATION** | 1, Benjamin Hill | | , swear (or af…Read the full text as markdown