Full text of GALT FINANCIAL GROUP, INC.'s X-17A-5 filed 2023-03-14 (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** # **ANNUAL REPORTS FORM X-17A-5 PART** Ill 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 > SEC FILE NUMBER **8-67863** **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 01/01/22 | | AND ENDING 12/31 /22 | | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|----------------------|-------------------------|-------------------------------------------| | | MM/DD/VY<br>MM/DD/VY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME oF FIRM: Galt Financial Group, Inc. | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>0 Broker-dealer<br>D Security-based swap dealer<br>□ Major security-based swap participant<br>□ Check here if respondent is also an OTC derivatives dealer | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 2629 Townsgate Road, Suite 215 | | | | | | | {No. and Street} | | | | | Westlake Village | California | 91361 | | | | (City} | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Benjamin Hill | 805-449-1132 | | benjamin@wealth-inc.com | | | {Name} | {Area Code - Telephone Number} | | {Email Address} | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>RBSM, LLP | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 805 Third Avenue, Suite 1430 New York | | | NY | 10022 | | (Address} | {City} | | (State} | (Zip Code} | | 09/24/03 | | 587 | | | | l"<br>of Reg;w,tioo w;th PCAOB ){;f appUcable) | | | | [PCAOB Reg;wa,;oo N,mbec, ff appUcable) I | | | FOR OFFICIAL USE ONLY | | | | \* Claims for exemption from the requirement that the annual reports be covered by the 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 require…Read the full text as markdown