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2701 N. Rocky Point Drive Suite 1000, Tampa, FL 33607 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2019-07-09 |
Branch Locations
2701 N Rocky Point Drive Suite 1000, Tampa, FL 33607 • United States
1 South Minnesota Street, New Ulm, MN 56073 • 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 |
|---|---|---|---|---|
| Capital Financial Services, Inc. | Minot | ND | 06/2003 | 07/2019 |
| Calton & Associates, Inc. | New Ulm | MN | 07/2019 | Present |
No. 1) Name of Business: Investment & Insurance Services of New Ulm, Ltd. Investment related. Address: 1 South Minnesota St., PO Box 62, New Ulm, MN 56073. Nature of Business: Term Life insurance sales, whole life insurance sales, long terms care insurance/hybrid insurance sales and fixed interest annuity sales. Position/Title/Relationship: President. Start Date: 12/01/1999. Hours per month: 50. Hours per month during Securities trading hours: 3. Duties/Responsibilities: I am the sales person responsible for recommending, delivering, and servicing an insurance product that suits the individual's needs.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-06-01 |
| S63 | Uniform Securities Agent State Law Examination | 1988-04-14 |
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