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Current Employers
Calton & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2017-06-22
  • TX RA
    APPROVED
    Since 2017-06-22

Branch Locations

675 Town Square Blvd. Bldg 1A Suite 200, Garland, TX 75040 • 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 Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Benefit Mall.COm Baltimore MD 07/1990 09/2016
Capital Financial Services, Inc. Minot ND 06/2006 05/2017
Calton & Associates, Inc. Rowlett TX 05/2017 Present
  • 07/1990 → 09/2016
    Benefit Mall.COm
    Baltimore, MD
  • 06/2006 → 05/2017
    Capital Financial Services, Inc.
    Minot, ND
  • 05/2017 → Present
    Rowlett, TX
Previous Registrations
  • 2006-06-06 → 2017-05-17
    Capital Financial Services, Inc.
    Richardson, TX
    Minot, ND
    Minot, ND
    Garland, TX
    Minot, ND
  • 2004-03-03 → 2006-06-05
    Legacy Advisory Services, Inc.
    Richardson, TX
  • 1999-08-18 → 2004-02-20
    Eastern Point Advisors Inc.
    Clinton, MD
Other Businesses

No. 1) Name of Business: Insurance Agency Marketing Services, Inc. Investment related. Address: 505 North 210th Street, Elkhorn, NE 68022. Nature of Business: Fixed Annuity, SIPA, and Life Insurance. Position/Title/Relationship: Agent. Hours per month: 65. Hours per month during Securities trading hours: 65. Duties/Responsibilities: I sell fixed annuities, SPIA's and Life Insurance. Start Date: 06/12/2018. No. 2) Name of Business: Pre Paid Legal. Non-Investment related. Address: 1 Pre-Paid Way, ADA, OK 74820. Nature of Business: Legal services and Identity Protection services. Position/Title/Relationship: Agent. Hours per month: 0. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Receive residuals from existing client base. Start Date: 07/2003. No. 3) Name of Business: BAS Advisory Services, LLC DBA BAS Financial and Tax Services. Non-Investment related. Address: 675 Town Square Blvd., Building 1A, Suite 200, garland, TX 75040. Nature of Business: Insurance and Tax. Position/Title/Relationship: Owner. Hours per month: During tax season 6hrs a day, Non-tax season 2hrs a day. Hours per month during Securities trading hours: 20%. Duties/Responsibilities: Analyzing client's tax and insurance needs, and appropriate product offerings. Start Date: 03/08/2018.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-07-16
S63 Uniform Securities Agent State Law Examination 1986-06-13
  • S65 Uniform Investment Adviser Law Examination
    1999-07-16
  • S63 Uniform Securities Agent State Law Examination
    1986-06-13

View on SEC IAPD

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