0001611606-18-000001.txt : 20180129
0001611606-18-000001.hdr.sgml : 20180129
20180129130022
ACCESSION NUMBER: 0001611606-18-000001
CONFORMED SUBMISSION TYPE: MA-A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171231
FILED AS OF DATE: 20180123
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: DEC Associates Inc
CENTRAL INDEX KEY: 0001611606
IRS NUMBER: 201959956
STATE OF INCORPORATION: NC
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: MA-A
SEC ACT: 1934 Act
SEC FILE NUMBER: 867-00299
FILM NUMBER: 18554440
BUSINESS ADDRESS:
STREET 1: 2133 SOUTHEND DRIVE UNIT 306
CITY: CHARLOTTE
STATE: NC
ZIP: 28203
BUSINESS PHONE: 7043347478
MAIL ADDRESS:
STREET 1: 2133 SOUTHEND DRIVE UNIT 306
CITY: CHARLOTTE
STATE: NC
ZIP: 28203
MA-A
1
primary_doc.xml
MA-A
0001611606
XXXXXXXX
Andrew Carter
7043347480
acarter@decassociatesinc.com
acarter@decassociatesinc.com
jcarter@decassociatesinc.com
12-31-2017
Y
DEC Associates Inc
20-1959956
866-00168-00
867-00299
2133 Southend Drive Unit 306
Charlotte
NC
28203
7043347478
7043347481
N
2133 SOUTHEND DRIVE UNIT 306
CHARLOTTE
NC
28203
Jeremy
Alexander
Carter
2133 Southend Drive Unti 306
Charlotte
NC
28203
7043347479
7043347481
jcarter@decassociatesinc.com
Jeremy
Alexander
Carter
2133 Southend Drive Unit 306
Charlotte
NC
28203
7043347479
7043347481
jcarter@decassociatesinc.com
December
NC
12-01-2004
N
3
3
0
0
0
20
Municipal Entities
Non-profit organizations
0
0
0
Not Applicable
Hourly Charges
Fixed Fees
Contingent Fees
Not Applicable
Advice Insurance Of MS
Advice Guaranteed IC
Advice Use Of MD
Advice On Selection
N
0
N
N
N
N
N
N
N
N
N
N
Y
N
N
N
Due to technical difficulties in submitting the Form MA to the EDGAR filing system, the questions concerning an associated person's SEC regulartory actions could not be entered into this MA form correctly. If any ansswers in Section 9 of the Form MA is answered yes, the DRP form that must be completed does not allow the MA to be accepted and creates an "internal Error" from the EDGAR filing system. We contacted EDGAR filing support at (202)551-8900, option 3 and spoke with the agent, Paula Culver, multiple times to attempt to resolve the technical issue in submitting the Form MA. She suggested a number of possible fixes, but at this point, we have been unable to successfully submit a Form MA with a DRP form included, as required. We have submitted information in writing (through electronic email) detailing our technical issue as requested by Paula Culver with the relevant information she required. A support ticket has been created to look into the technical issue, but no time frame has been given as to when the issue will be resolved. Based on our MA-I registration number, we are required to submit the Form MA and Form MA-Is by July 31, 2014. We have been able to submit all the requisite Form MA-Is for our professionals, but have not been able to submit the firm's Form MA with questions in Section 9 answered correctly. In order to work around the technical issue of submitting the DRP with our Form MA, we are having to answer questions 9-C(2), 9-C(4) and 9-C(5) with a "No" instead of a "Yes". Douglas E. Carter's MA-I correctly identifies a SEC related regulatory occurrance and gives the yes answers that would have been included in the Firm's Form MA. Doug Carter's MA-I has been submitted with the accurate DRP form and is currently pending approval in the EDGAR filing system (Accession Number 0001611606-14-000001). Once the technical difficulties on the SEC system have been completed, the Firm will file an updated Form MA. By this disclosure we wish to identify actions we are taking to make our signature certification be true and accurate on this Form MA.
N
N
N
N
N
Y
N
Y
Y
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
Y
N
Douglas
Edsel
Carter
President & Managing Director
12-01-2004
E
Y
001631443
Jeremy
Alexander
Carter
Chief Compliance Officer
12-01-2004
NA
N
Add
Douglas
Edsel
Carter
President & Managing Director
12-01-2004
E
Y
001631443
Add
Jeremy
Alexander
Carter
Chief Compliance Officer
12-01-2004
NA
N
1
9-C2
9-C4
9-C5
Douglas
Edsel
Carter
N
Douglas Edsel Carter
868-02117
07-29-2014
0001611606-14-000001
Andrew Carter
Andrew Carter
Vice President
01-23-2018
N
N
N
N
N
Y
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N