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Current Employers
Calton & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2011-09-07
  • FL RA
    APPROVED
    Since 2011-09-07

Branch Locations

Sarasota, FL • 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
Calton & Associates, Inc. Sarasota FL 05/1989 Present
Previous Registrations
  • 1991-05-23 → 2010-12-31
    City Financial Corporation
    Sarasota, FL
  • 1991-05-23 → 2009-12-31
    City Financial Corporation
Other Businesses

1) Rosebay Realty Sarasota. Non-Investment related. Address: 1815 Osprey Ave. Sarasota, FL 34239. Real estate sales and referrals. Independent Contractor. Referral agent. 06/2014. Hours per month: 1. Representation of buyers and sellers of commercial and residential real estate. Consultation services pertaining to real estate transactions. 2) John Reven, non- Investment related. Address: 4577 Hamlets Grove Drive, Sarasota, FL 34235. Public performances. Principal/Musician. 06/26/2019. Hours per month: 10. Hours per month during none during Securities trading hours: Performance with various Bands, and individual musical performances.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1987-10-16
  • S63 Uniform Securities Agent State Law Examination
    1987-10-16

View on SEC IAPD

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