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Current Employers
Calton & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2024-11-06
  • MD RA
    APPROVED
    Since 2024-11-06

Branch Locations

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

705 Old Fallston Road Suite 105, Fallston, MD 21047 • United States

2701 N Rocky Point Drive Suite 1000, Tampa, FL 33607 • 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 No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
New Windsor State Bank Westminster MD 04/2008 11/2017
Cetera Investment Services Llc St. Cloud MN 04/2008 10/2024
Cetera Investment Advisers Llc Westminster MD 01/2014 10/2024
Calton & Associates, Inc. Tampa FL 10/2024 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-04-11
  • S66 Uniform Combined State Law Examination
    2008-04-11

View on SEC IAPD

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