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2701 N. Rocky Point Drive Suite 1000, Tampa, FL 33607 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2026-01-09 |
Branch Locations
2701 N Rocky Point Drive Suite 1000, Tampa, FL 33607 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Capital Financial Services, Inc. | Minot | ND | 04/1986 | 07/2019 |
| Calton & Associates, Inc. | Madison | WI | 07/2019 | Present |
No. 1) Name of Business: DBA Schneider Financial Services. Investment related. Address: Grand Teton Plaza, Madison, WI 53719. Nature of Business: Managing client accounts. Mutual funds and variable annuities. Placing occasional unsolicited stock and bond trades. Position/Title/Relationship: Partner. Start Date: 04/01/1973. Hours per month: 80. Hours per month during Securities trading hours: 64. Duties/Responsibilities: Talking to clients and calling vendors. No. 2) Name of Business: Schneider Financial Services. Non-Investment related. Address: Grand Teton Plaza, Madison, WI 53719. Nature of Business: Life insurance and fixed annuities sales. I haven't placed new policies in several years. Position/Title/Relationship: Other - I don't use a title for this business. Start Date: 04/01/1973. Hours per month: 1. Hours per month during Securities trading hours: 1. Duties/Responsibilities: Occasional service on existing policies.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1991-10-28 |
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