# EDGAR Filing Document

**Accession Number:** 0000822648
**File Stem:** 0000822648-25-000005
**Filing Date:** 2025-12
**Character Count:** 2548
**Document Hash:** f6863c57f83a2b5f219109c87b40b59c
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000822648-25-000005.hdr.sgml**: 20251229

**ACCESSION NUMBER**: 0000822648-25-000005

**CONFORMED SUBMISSION TYPE**: X-17A-5

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20250930

**FILED AS OF DATE**: 20251229

**DATE AS OF CHANGE**: 20251229

**EFFECTIVENESS DATE**: 20251229

**PERIOD START**: 20241001

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** CALTON & ASSOCIATES, INC.
- **CENTRAL INDEX KEY:** 0000822648

**ORGANIZATION NAME:**
- **EIN:** 592845944
- **STATE OF INCORPORATION:** FL
- **FISCAL YEAR END:** 0930

**FILING VALUES:**
- **FORM TYPE:** X-17A-5
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 008-38635
- **FILM NUMBER:** 251603130

**BUSINESS ADDRESS:**
- **STREET 1:** 2701 N ROCKY POINT DRIVE
- **STREET 2:** SUITE 1000
- **CITY:** TAMPA
- **STATE:** FL
- **ZIP:** 33607
- **BUSINESS PHONE:** 813-605-0902

**MAIL ADDRESS:**
- **STREET 1:** 2701 N ROCKY POINT DRIVE
- **STREET 2:** SUITE 1000
- **CITY:** TAMPA
- **STATE:** FL
- **ZIP:** 33607

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** CALTON & ASSOCIATES INC                                 /BD
- **DATE OF NAME CHANGE:** 20020215

### Attached PDF Documents

**Attachment 1:** `CaltonFY2025Public.pdf`

_No text found in this document._

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM X-17A-5

### ANNUAL AUDITED REPORT

### Filer Information

**Filer CIK:** 0000822648

**Filer CCC:** XXXXXXXX

**Is this a LIVE or TEST filing?:** LIVE

**Would you like a Return Copy?:** Yes

### Submission Information

**Report Period Begin Date:** 10-01-2024

**Report Period End Date:** 09-30-2025

**Type of Registrant:** Broker-dealer

**Any material weaknesses identified?:** No

### Registrant Identification

**Name of Broker-Dealer:** CALTON & ASSOCIATES, INC.

**Business Address:** 2701 N ROCKY POINT DRIVE, SUITE 1000, TAMPA, FL, 33607

**Contact Person:** David S. Cole

**Contact Phone:** 813-264-0440

### Independent Public Accountant Identification

**Accountant Name:** Prida, Guida & Perez, P.A.

**Accountant Address:** 2504 West Kathleen Street, Tampa, FL, 33607

**Accountant Type:** Certified Public Accountant

### OATH OR AFFIRMATION

I, **David S. Cole**, swear (or affirm) that, to the best of my knowledge and belief, the accompanying financial statements and supporting schedules pertaining to the firm of **CALTON & ASSOCIATES, INC.**, as of **09-30-2025**, are true and correct.

**Signature:** David S. Cole

**Title:** Chief Financial Officer