Steven Marc Heinowitz

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

• 12/2014 → 08/2019
  Citigroup Global Markets Inc
  Ny, NY
• 08/2019 → 01/2022
  Wellington Shields & Co. Llc
  New York, NY
• 01/2022 → 04/2023
  Quint Capital Corp
  New York, NY
• 04/2023 → 07/2025
  Herold & Lantern Investments, Inc.
  Staten Island, NY
• 04/2023 → 07/2025
  Herold Advisors, Inc.
  Staten Island, NY
• 07/2025 → Present
  Calton & Associates, Inc.
  Tampa, FL

Previous Registrations

• 2023-04-28 → 2025-08-12
  Herold Advisors, Inc.
  New York, NY
  Staten Island, NY
• 2022-01-18 → 2023-05-01
  Quint Capital Corporation
  New York, NY
• 2019-09-04 → 2022-01-19
  Wellington Shields & Co., Llc
  New York, NY
  New York, NY
• 2014-12-01 → 2019-09-12
  Citigroup Global Markets Inc.
  New York, NY
  Long Island City, NY
  Greenwich, CT
  New York, NY
  New York, NY
  Long Island City, NY
  New York, NY
  New York, NY
• 2013-01-30 → 2014-12-09
  Rbc Capital Markets, Llc
  Paramus, NJ
• 2010-07-02 → 2013-02-14
  Morgan Stanley
  Paramus, NJ

Other Businesses

1) Castle Point Wealth Management; Investment-related; 221 River St., 9th Floor, Hoboken, NJ 07030; Nature of Business: Investments, life insurance, long-term care insurance, fixed and variable annuities. Position/Title/Relationship: Owner/Sole Proprietor; Start Date: 7/14/2025; Hours/month: 160; Hours/month during securities trading hours: 130; Duties: Investing and managing clients assets in ETF's, registered investment products, life insurance, long-term care insurance, fixed and variable annuities.

Exams

• S66 Uniform Combined State Law Examination
  2010-06-29