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Current Employers
Calton & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2015-09-18
FL RA APPROVED 2010-04-07
  • TX RA
    APPROVED_RES
    Since 2015-09-18
  • FL RA
    APPROVED
    Since 2010-04-07

Branch Locations

2240 Belleair Rd Suite 180B, Clearwater, FL 33764 • United States

2701 N Rocky Point Drive Suite 1000, Tampa, FL 33607 • UNITED STATES

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

Disclosures

2 disclosure categories 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 Yes
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Calton & Associates, Inc. Tampa FL 03/2010 Present
Previous Registrations
Other Businesses

No. 1) Name of Business: Rental Property. Non-Investment related. Address: 1100 Live Oak Ct. Clearwater, FL 33756. Nature of Business: Residential Rental Property. Position/Title/Relationship: Owner. Start Date: 12/2015. Hours per month: Less than 1. Hours per month during Securities trading hours: Less than 1. Duties/Responsibilities: Renting out a previously owned property. No. 2) Name of Business: Financial World Investments Inc. Non-Investment related. Address: 300 S. Duncan Ave. Suite 287. Clearwater, FL 33755. Nature of Business: Subchapter S Corporation. Position/Title/Relationship: Officer. Start Date: 01/01/2001. Hours per month: 0. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Corporation formed solely to process office and personal income from Calton. No. 3) Name of Business: TJ Clearwater Corporation. Non-Investment related. Address: 300 Leeward Is, Clearwater Fl 33767 United States. Nature of Business: File & Pay corp account, Monthly Florida Sales Tax. Position/Title/Relationship: Officer. Start Date: 01/01/1988. Hours per month: 0. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Officer of a commercial rental property on Clearwater Beach.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-08-13
S63 Uniform Securities Agent State Law Examination 1991-04-05
  • S65 Uniform Investment Adviser Law Examination
    1999-08-13
  • S63 Uniform Securities Agent State Law Examination
    1991-04-05

View on SEC IAPD

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