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2701 N. Rocky Point Drive Suite 1000, Tampa, FL 33607 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2015-02-20 |
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
6116 Sw Hwy 200, Ocala, FL 34476 • 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 |
|---|---|---|---|---|
| Windward Wealth Management | Ocala | FL | 05/2000 | Present |
| Independent Insurance Agent | Ocala | FL | 11/2002 | Present |
| Calton & Associates, Inc. | Ocala | FL | 02/2015 | Present |
No. 1) Name of Business: Windward Wealth Management, LLC. Investment related. Address: 6116 SW Highway 200, Ocala, FL 34476. Nature of Business: DBA for financial services. Position/Title/Relationship: Owner. Start Date: 06/2010. Hours per month: 165. Hours per month during Securities trading hours: 140. Duties/Responsibilities: Investment advice. Supervision and maintenance of client accounts. No. 2) Name of Business: Windward Insurance & Tax Services, LLC. Non-Investment related. Address: 6114 SW Highway 200, Ocala, FL 34476. Nature of Business: DBA for accident life, health, annuities, home & auto insurance, tax preparation. Position/Title/Relationship: Partner. Start Date: 05/02/2011. Hours per month: 8.6. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Accident, life, health, fixed rate annuities, home & auto insurance, and tax preparation are offered. Property and casualty insurance is most of the business.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-10-11 |
| S63 | Uniform Securities Agent State Law Examination | 1994-06-06 |
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