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2701 N. Rocky Point Drive Suite 1000, Tampa, FL 33607 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SD | RA | APPROVED | 2019-07-15 |
Branch Locations
2701 N Rocky Point Drive Suite 1000, Tampa, FL 33607 • United States
115 E Havens Ave Suite 101, Mitchell, SD 57301 • 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 |
|---|---|---|---|---|
| Capital Financial Services, Inc | Minot | ND | 05/2010 | 07/2019 |
| Calton & Associates, Inc. | Mitchell | SD | 07/2019 | Present |
1) Independent Financial Center. Non-Investment related. Address: 115 E Haven Ave, Suite 101, Mitchell, SD 57301. Nature of Business: DBA for insurance products: Annuities, Life, & Long term care insurance. Owner & Insurance Rep, CFP. Start Date: 07/11/2019. Hours per month: 15. Hours per month during Securities trading hours: 3, Insurance Agent
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-08-05 |
| S63 | Uniform Securities Agent State Law Examination | 1990-05-18 |
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