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Current Employers
Calton & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2015-01-16
  • CA RA
    APPROVED
    Since 2015-01-16

Branch Locations

100 N Citrus Street Suite 510, West Covina, CA 91791 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Calton & Associates, Inc. West Covina CA 01/2015 Present
Previous Registrations
  • 2012-10-01 → 2014-12-19
    West Covina, CA
  • 2009-05-02 → 2012-10-01
    Chase Investment Services Corp.
    West Covina, CA
  • 2006-09-07 → 2009-05-02
    Wamu Investments, Inc.
    West Covina, CA
    West Covina, CA
Other Businesses

1) Alexander Wealth Management, LLC. Non-Investment related. Address: 100 N Citrus St., Suite 510, West Covina, CA 91791. Nature of Business: Tax Filing. Position/Title/Relationship: Owner. Start Date: 01/2015. Hours per month: 1. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Sole owner, used for filing income tax. 2) Rental Landlord. Non-Investment related. Address: 12662 Thomas Ct, Grand Terrace, CA 92323. Nature of Business: Property rental. Position/Title/Relationship: Owner. Start Date: 08/2000. Hours per month: 1. Hours per month during Securities trading hours: 1%. Duties/Responsibilities: Owner. Collect rent and supervise any repair if it is needed. Pay the insurance and property tax. 3)"Alexander Wealth Management, LLC.",Is Investment Related Address: 100 N Citrus St, Suite 510, West Covina, CA, 91791, United States", Nature of Business: Securities, Retirement and Insurance" Title: CEO,2015-03-01,100 hours per month,5 hours per month during trading hours, Other Compensation, Receive 1099 from Calton

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-09-06
S63 Uniform Securities Agent State Law Examination 1994-02-07
  • S65 Uniform Investment Adviser Law Examination
    2006-09-06
  • S63 Uniform Securities Agent State Law Examination
    1994-02-07

View on SEC IAPD

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