X-17A-5: Submission Information

Report for the Period Beginning

10-01-2021

and Ending

09-30-2022

Type of Registrant

Broker-dealer

Security-based swap dealer

Major security-based swap participant

OTC derivatives dealer

Material Weakness

Does this submission include an accountant's report covering the compliance report that indentifies one or more material weaknesses?

Yes

X-17A-5: A. Registrant Identification

Name of Firm

CALTON & ASSOCIATES, INC.

Address of Principal Place of Business (Do not use P.O. Box No.)

Address 1

2701 N ROCKY POINT DRIVE

Address 2

SUITE 1000

City

TAMPA

State/Country

FLORIDA

Mailing Zip/ Portal Code

33607

Name and Telephone Number of Person to Contact in Regard to this Report

Name

FERNANDO FUSSA

Telephone Number

813-264-0440

X-17A-5: B. Accountant Identification

Independent Public Accountant

Name - if individual, state last, first, and middle name

PRIDA, GUIDA & PEREZ, P.A.

Address 1

1106 NORT FRANKLIN STREET

City

TAMPA

State/Country

FLORIDA

Mailing Zip/ Postal Code

33602

Check One

Certified Public Accountant
Radio button not checked

Certified Public Accountant not resident in United States or any of its possessions

X-17A-5: Signature

Oath or Affirmation

I, FERNANDO FUSSA, swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of CALTON & ASSOCIATES, INC., as of 09-30-2022, is true and correct. I further swear (or affirm) that neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account classified solely as that of a customer, except as follows:

Signature

FERNANDO FUSSA

Title

CHIEF FINANCIAL OFFICER

Notary Public

Checking this box acknowledges that this oath or affirmation has been notarized.

X-17A-5: Filer Information

Submission Contact Information