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Current Employers
Calton & Associates, Inc.

2701 N. Rocky Point Drive Suite 1000, Tampa, FL 33607 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2011-10-28
  • FL RA
    APPROVED
    Since 2011-10-28

Branch Locations

14614 Village Glen Circle, Tampa, FL 33618 • United States

Lady Lake, FL • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Calton & Associates, Inc. Tampa FL 06/2001 Present
Other Businesses

No. 1) Name of Business: Insurance Agency. Non-Investment related. Address: 505 Jason Dr, Lady Lake, FL 32159. Nature of Business: Insurance business away from Calton. Position/Title/Relationship: Agent. Start Date: 2001. Hours per month: 5. Hours per month during Securities trading hours: 10%. Duties/Responsibilities: Providing information to clients and prospects on various insurance products excluding indexed annuities. Insurance companies: AIG, Americo, ASPIDA, Athene, Lincoln, Mass Mutual (Great American), Protective Life, Securian, Symetra. No. 2) Name of Business: North Star Wealth Advisors. Investment related. Address: 505 Jason Dr, Lady Lake, FL 32159. Nature of Business: North Star Wealth Advisors is a DBA for a branch office of Calton that I joined. Position/Title/Relationship: Advisor. Start Date: 2016. Hours per month: 160. Hours per month during Securities trading hours: 100. Duties/Responsibilities: I work as a registered advisor in this branch office. I provide advisory services and financial planning for my clients. We are almost exclusively an advisory based office. I also do a small amount of insurance business.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-10-21
S63 Uniform Securities Agent State Law Examination 2001-10-23
  • S66 Uniform Combined State Law Examination
    2011-10-21
  • S63 Uniform Securities Agent State Law Examination
    2001-10-23
Other Names
  • Josh Hanby

View on SEC IAPD

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