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2701 N. Rocky Point Drive Suite 1000, Tampa, FL 33607 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2016-10-28 |
| MO | RA | APPROVED | 2016-08-30 |
| FL | RA | APPROVED | 2014-03-27 |
Branch Locations
2701 N Rocky Point Drive Suite 1000, Tampa, FL 33607 • UNITED STATES
2701 N Rocky Point Drive Suite 1000, Tampa, FL 33607 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Calton & Associates, Inc. | Tampa | FL | 03/2012 | Present |
1.) Name of Business: Rocky Island LLC. Investment Related. Address: 1209 E Cumberland Ave, Unit 2902, Tampa FL, 33602. Nature of Business: Engage in the business of renting, developing and managing real-estate. Engage in providing succession planning option to advisors. Position/Title/Relationship: Partner. Start Date: 08/01/2022. Hours per month: Less than 1. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Rental activity entails acquisition and leasing out of properties. Succession planning activity may begin if the succession occurs. 2.) Name of Business: DynamicShares LLC. Investment related. Address: 449 S 12th Street 1404, Tampa, FL 33602. Nature of Business: Product Development. 50% ownership in RIA Dynamic Shares LLC which will develop and distribute investment products including mutual funds, ETFs, private placements and alternatives. Distribution may be through the Calton broker-dealer and RIA along with other broker-dealers and RIAs. Any conflicts of interest will be disclosed as directed by the Calton Chief Compliance Officer. Compensation will be profits from LLC. Position/Title/Relationship: Member. Start Date: 01/15/2020. Hours per month: 5. Hours per month during Securities trading hours: 1. Duties/Responsibilities: Management of the Registered Investment Advisor DynamicShares, LLC. Manage the development of products and the distribution of products through Broker-Dealers and Registered Investment Advisors.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-03-14 |
| S63 | Uniform Securities Agent State Law Examination | 2003-07-18 |
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