Phillip Richard Anton

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

• 08/2016 → Present
  Calton & Associates, Inc.
  Redmond, WA

Previous Registrations

• 2009-12-23 → 2016-08-30
  Newport Coast Securities, Inc.
  New York, NY
  Irvine, CA
  Brea, CA
• 2007-06-27 → 2009-12-31
  Wedbush Securities Inc.
  Los Angeles, CA
  Brea, CA
  Pasadena, CA
• 2000-03-01 → 2007-07-13
  Brookstreet Securities Corporation
  Brea, CA

Other Businesses

NO. 1 - PRO SPORTS ENTERPRISES. NON-INVESTMENT RELATED. ADDRESS: 569 MERCURY LANE SUITE A BREA, CA 92821. NATURE OF BUSINESS: SPORTS AGENT. POSITION/TITLE/RELATIONSHIP: AGENT. START DATE: APRIL 1996. HOURS PER MONTH: 20. HOURS PER MONTH DURING SECURITIES TRADING HOURS: 1. DUTIES/RESPONSIBILITIES: INTRODUCTION OF COACHES AND ATHLETES TO PARTNER WHO HANDLES ALL CONTRACTS AND ENDORSEMENT NEGOTIATIONS. SERVES AS A POINT OF CONTACT BETWEEN COACHES AND ATHLETES.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-12-28
• S63 Uniform Securities Agent State Law Examination
  1983-04-07