Robert Joseph Kozlowski

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:

Current Employers

Calton & Associates, Inc.

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

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2013-08-16

AZ RA
APPROVED

Since 2013-08-16

Branch Locations

Tempe, AZ • United States

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

Disclosures

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.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Calton & Associates, Inc.	Tampa	FL	03/1994	Present

03/1994 → Present

Calton & Associates, Inc.

Tampa, FL

Other Businesses

No. 1) Name of Business: Valor Tours. Non-Investment related. Address: 10 Liberty Ship Way, Suite 110, Sausalito, CA 94965. Nature of Business: Military History Tour. Position/Title/Relationship: Tour Guide. Start Date: 08/2014. Hours per month: 1. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Leading the tour for Military History events.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-07-30
S63	Uniform Securities Agent State Law Examination	1980-01-26

S66 Uniform Combined State Law Examination

2013-07-30
S63 Uniform Securities Agent State Law Examination

1980-01-26

View on SEC IAPD