Full text of GALT FINANCIAL GROUP, INC.'s X-17A-5/A filed 2024-04-17 (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 OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-67863 # ANNUAL REPORTS FORM X-17A-5 PART III 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 01/01/23 | | AND ENDING 12/31/23 | | |------------------------------------------|----------|---------------------|----------| | | MM/DD/YY | | MM/DD/YY | A. REGISTRANT IDENTIFICATION # NAME OF FIRM: Galt Financial Group, Inc. TYPE OF REGISTRANT (check all applicable boxes): Broker-dealer | | Security-based swap dealer O 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.) # 2629 Townsgate Road, Suite 215 | | (No. and Street) | | | |-------------------------------------------------------------|---------------------------------------------------------------------------|----------------------|--------------------------------------------| | Westlake Village | CA | | 61913 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Scott P. Tarra | (949) 338-8192 | starra@connexien.com | | | (Name) | (Area Code - Telephone Number)<br>(Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | 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) | | | | 587 | | | 9/24/03<br>(Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | 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)(1)(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 OMB control number. {1}------------------------------------------------ ### OATH OR AFFIRMATION | Benjamin Hill | swear (or affirm) that, to the best of my knowledge and belief, the | |-----------------------------------------------------------------------|-----------------------------------------…Read the full text as markdown