CALTON & ASSOCIATES, INC. of TAMPA, FL is an SEC-registered investment adviser (CRD 20999). Regulatory assets under management: $1.6B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Performance, Commissions.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
Showing 25 of 52 people.
| Name | Role | Location |
|---|---|---|
| Rameshwar Singh | DIRECTOR / SECRETARY /PRESIDENT OF ADVISORY SERVICES; SHAREHOLDER | Miami, FL |
| Saad Rahmouni Idrissi | CHIEF COMPLIANCE OFFICER | — |
| Dwayne Kent Calton | PRESIDENT - DIRECTOR | — |
| Derek Jay Calton | VICE PRESIDENT - DIRECTOR | — |
| Randall Lee Ciccati | CEO / DIRECTOR; SHAREHOLDER | — |
| Jill Marie Ciccati | SHAREHOLDER | — |
| Austin Louis Ciccati | SHAREHOLDER | — |
| Carly Marie Ciccati | SHAREHOLDER | — |
| Adeline Carmela Ciccati | TRUSTEE OF THE LOUIS CICCATI AND ADELINE CARMELA CICCATI REVOCABLE TRUST | — |
| Paul Reid Richardson | CHIEF OPERATIONS OFFICER | — |
| David Scott Cole | CHIEF FINANCIAL OFFICER/FINOP | — |
| CICCATI RANDALL LEE | CEO / DIRECTOR; DIRECTOR; SHAREHOLDER (+1 more) | — |
| SIMMERS JOHN STEPHEN | DIRECTOR; DIRECTOR, TRUSTEE OF THE SIMMERS FAMILY TRUST; TRUSTEE OF THE SIMMERS FAMILY TRUST | — |
| GREGG WILLIAM EDWARD | DIRECTOR | — |
| COLE FLETCHER SCOTT | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER / VICE PRESIDENT; DIRECTOR / SECRETARY (+1 more) | — |
| SHERWOOD ROBIN ANN | SHAREHOLDER | — |
| HARRINGTON PHILLIP JOHN JR | SHAREHOLDER / JTWROS WITH SANDRA HARRINGTON; VICE PRESIDENT; VICE PRESIDENT - TREASURER - DIRECTOR | — |
| SINGH RAMESHWAR | DIRECTOR; DIRECTOR / SECRETARY /PRESIDENT OF ADVISORY SERVICES; DIRECTOR / TREASURER (+2 more) | — |
| ERICSON NILS ALEXANDER | CHIEF COMPLIANCE OFFICER | — |
| RICHARDSON PAUL REID | CHIEF OPERATIONS OFFICER | — |
| CALTON DWAYNE KENT | PRESIDENT - DIRECTOR; PRESIDENT - DIRECTOR-TRUSTEE; PRESIDENT - DIRECTOR-TRUSTEE OF DWAYNE CALTON TRUST | — |
| HUGHES LAWRENCE OLIVER | SHAREHOLDER | — |
| HAYDEL JOSEPH RICHARD | VICE PRESIDENT - DIRECTOR | — |
| CALTON DEREK JAY | SHAREHOLDER / JTWROS WITH LORETTA D CALTON; VICE PRESIDENT - DIRECTOR; VICE PRESIDENT - DIRECTOR-SECRETARY | — |
| GREBLUNAS ROBERT BLAIR | CHIEF COMPLIANCE OFFICER / VICE PRESIDENT; COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-03-11 | regulatory | BREACH OF FIDUCIARY DUTY AND INADEQUATE DISCLOSURE IN CONNECTION WITH MUTUAL FUND SHARE CLASS SELECTION PRACTICES AND FEES RECEIVED UNDER RULE 12B-1 OF THE INVESTMENT COMPANY ACT OF 1940. CALTON FAILED TO ADEQUATELY DISCLOSE TO CLIENTS CONFLICTS OF INTEREST RELATING TO CALTON'S RECEIPT OF 12B-1 FEES… | Final | — |
| 2016-09-14 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO REPORT TRANSACTIONS IN TRADE REPORTING AND COMPLIANCE ENGINE (TRACE)-ELIGIBLE SECURITIZED PRODUCTS TO TRACE WITHIN THE TIME REQUIRED BY FINRA RULE 6730(A). | Final | $5K |
| 2009-01-14 | regulatory | BRANCH OFFICE FAILED TO SUBMIT SEMINAR ADVERTISING AND SALES LITERATURE FOR APPROVAL PRIOR TO USE. | Final | $5K |
| 2005-10-27 | regulatory | LATE REPORTING ON THE TRACE SYSTEM. | Final | $10K |
| 1998-12-09 | regulatory | CALTON & ASSOCIATES SOLD UNREGISTERED SECURITIES AND FAILED TO PROPERLY SUPERVISE AN AGENT. | Final | $2K |
| 1998-05-08 | regulatory | THE FLORIDA DEPARTMENT OF BANKING AND FINANCE ALLEGES THAT CALTON & ASSOCIATES, INC. CONDUCTED SECURITIES BUSINESS FROM A BRANCH OFFICE LOCATION IN FLORIDA WITHOUT BENEFIT OF LAWFUL REGISTRATION. | Final | $5K |
| 1996-07-17 | regulatory | FAILURE TO REASONABLY SUPERVISE A REPRESENTATIVE WITH THE VIEW OF PREVENTING VIOLATIONS OF THE ARIZONA SECURITIES ACT. | Final | $5K |
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