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2701 N. Rocky Point Drive Suite 1000, Tampa, FL 33607 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ND | RA | APPROVED | 2019-06-05 |
| TX | RA | APPROVED_RES | 2019-05-20 |
Branch Locations
603 Kirkwood Mall, Bismarck, ND 58504 • 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
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 | 07/2004 | 05/2019 |
| Calton & Associates, Inc. | Bismark | ND | 05/2019 | Present |
No. 1) Name of Business: North American Company, The Standard. Investment related. Address: 1100 SW Sixth Avenue, Portland, OR 97204. Nature of Business: Fixed Annuity Business. Position/Title/Relationship: Agent. Start Date: 04/2019. Hours per month: N/A. Hours per month during Securities trading hours: N/A. Duties/Responsibilities: Fixed Annuity Business. No. 2) Name of Business: Calton & Associates, Inc. Non-Investment related. Address: 418 E Rosser Ave., #350, Bismarck, ND 58501. Nature of Business: Life insurance offered through various life insurance companies. Position/Title/Relationship: Agent. Start Date: 09/2008. Hours per month: 3-5. Hours per month during Securities trading hours: N/A. Duties/Responsibilities: Life insurance agent. No. 3) Name of Business: InSource, Inc. Non-Investment related. Address: 8500 Keystone Crossing, Suite 300, Indianapolis, IN 46240. Nature of Business: Life Insurance Products. Life Insurance Products with LTC Riders as well as Fixed Annuities & Fixed Indexed Annuities. Position/Title/Relationship: Agent. Start Date: 2013. Hours per month: 15. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Insurance agent for clients seeking Life insurance Products and or Fixed Annuities. No. 4) Name of Business: Terry L. O'Clair & Teresa M. O'Clair Family Trust. Non-Investment related. Address: 8579 47th Ave NW, Tolley, ND 58787. Nature of Business: Homesteaded O'Clair Family Farm. Position/Title/Relationship: Trustee. Start Date: 12/26/1990. Hours per month: 15. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Keep up with general maintenance of the farmhouse, buildings, mowing of grass, etc.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-03-06 |
| S63 | Uniform Securities Agent State Law Examination | 1996-08-07 |
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