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2701 N. Rocky Point Drive Suite 1000, Tampa, FL 33607 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2011-10-28 |
Branch Locations
14614 Village Glen Circle, Tampa, FL 33618 • United States
Lady Lake, FL • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Calton & Associates, Inc. | Tampa | FL | 06/2001 | Present |
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.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-10-21 |
| S63 | Uniform Securities Agent State Law Examination | 2001-10-23 |
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