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Current Employers
Calton & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2019-07-09
  • MN RA
    APPROVED
    Since 2019-07-09

Branch Locations

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

881 Hwy 10 East, Detroit Lakes, MN 56501 • 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
Self-Employed Park Rapids ND 05/1997 Present
Capital Financial Services Minot ND 01/2010 07/2019
Calton & Associates, Inc. Detroit Lakes MN 07/2019 Present
  • 05/1997 → Present
    Self-Employed
    Park Rapids, ND
  • 01/2010 → 07/2019
    Capital Financial Services
    Minot, ND
  • 07/2019 → Present
    Detroit Lakes, MN
Previous Registrations
  • 2013-12-18 → 2019-07-09
    Capital Financial Services, Inc.
    Minot, ND
    Nevis, MN
    Detroit Lakes, MN
Other Businesses

1) Name of Business: Diamond Properties, LLC. Non-Investment related. Address: PO Box 310, Detroit Lakes, MN 56502. Nature of Business: Real Estate. Position/Title/Relationship: Member. Start Date: 04/01/2015. Hours per month: 2. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Regular maintenance of building. 2) Name of Business: Insurance Sales - Craig Brand. Non-Investment related. Address: PO Box 310 Detroit Lakes, MN 56502. Nature of Business: Service and sale of fixed life insurance. Position/Title/Relationship: Agent. Start Date: 04/01/1996. Hours per month: 10. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Service and sale of fixed life insurance. 3) Name of Business: Brand Financial Services. Investment related. Address: PO Box 310 Detroit Lakes, MN 56502. Nature of Business: DBA for Securities Business. Position/Title/Relationship: Agent. Start Date: 01/21/2010. Hours per month: 120. Hours per month during Securities trading hours: 120. Duties/Responsibilities: Financial Professional.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-01-25
S63 Uniform Securities Agent State Law Examination 1996-05-23
  • S66 Uniform Combined State Law Examination
    2018-01-25
  • S63 Uniform Securities Agent State Law Examination
    1996-05-23
Other Names
  • Craig E Brand

View on SEC IAPD

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