Chad Thomas Schwoerer

Employer firm

Calton & Associates, Inc. CRD 20999

$1.58B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2009 → 05/2019
  Capital Financial Services
  Minot, ND
• 08/2009 → Present
  Jkc Insurance And Investment Services, Llc.
  Manitowoc, WI
• 05/2019 → Present
  Calton & Associates, Inc.
  Tampa, FL

Previous Registrations

• 2017-03-27 → 2019-05-03
  Capital Financial Services, Inc.
  Manitowoc, WI
  Minot, ND

Other Businesses

No. 1) Name of Business: JKC Insurance and Investment Services, LLC. Non-Investment related. Address: 100 Maritime Dr., Suite 1C, Manitowoc, WI 54220. Nature of Business: DBA for Life and Health Insurance. Position/Title/Relationship: Owner. Start Date: 08/2009. Hours per month: 160. Hours per month during Securities trading hours: 100. Duties/Responsibilities: Sale of health, life, P&C insurance. Sale of fixed insurance. No. 2) Name of Business: JKC Insurance and Investment Services, LLC. Investment related. Address: 100 Maritime Dr., Suite 1C, Manitowoc, WI 54220. Nature of Business: Sales of insurance and investment services. Position/Title/Relationship: Member. Start Date: 06/2011. Hours per month: 160. Hours per month during Securities trading hours: 160. Duties/Responsibilities: Sales of insurance and investment products.

Exams

• S65 Uniform Investment Adviser Law Examination
  2017-03-24
• S63 Uniform Securities Agent State Law Examination
  2010-04-20

Other Names

• Chad T Schwoerer