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2701 N. Rocky Point Drive Suite 1000, Tampa, FL 33607 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 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
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-07-16 |
| S63 | Uniform Securities Agent State Law Examination | 1986-06-13 |
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