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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

DON ROBERT GUESS

Advisor at CALTON & ASSOCIATES, INC.

Cedar Park, TX | Marble Falls, TX

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Oct 11, 2000 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CALTON & ASSOCIATES, INC.
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 3, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: May 3, 1991
First registration: Oct 11, 2000
Dual registered: yes, broker-dealer
Other names: BOB GUESS
IAPD individual key: 2128590

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CALTON & ASSOCIATES, INC.	Independent wealth	Oct 3, 2013	n/a	yes	Cedar Park, TX\|Marble Falls, TX	Current employment
WADDELL & REED	Former SEC adviser	Jul 30, 2012	Sep 5, 2013	no	AUSTIN, TX	Previous registration
SWBC INVESTMENT COMPANY	Independent wealth	Jan 5, 2007	Jul 20, 2012	no	SAN ANTONIO, TX	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Feb 24, 2005	Feb 1, 2006	no	SUGAR LAND, TX	Previous registration
CAPITAL ADVISORS, INC.	Former SEC adviser	May 13, 2004	Feb 10, 2005	no	OKLAHOMA CITY, OK	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Oct 11, 2000	May 5, 2004	no	OKLAHOMA CITY, OK	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WADDELL & REED	CALTON & ASSOCIATES, INC.	Sep 5, 2013	Oct 3, 2013	28	Firm change	Other
SWBC INVESTMENT COMPANY	WADDELL & REED	Jul 20, 2012	Jul 30, 2012	10	Firm change	Other
TD AMERITRADE, INC.	SWBC INVESTMENT COMPANY	Feb 1, 2006	Jan 5, 2007	338	Firm change	Other
CAPITAL ADVISORS, INC.	TD AMERITRADE, INC.	Feb 10, 2005	Feb 24, 2005	14	Firm change	Other
CHARLES SCHWAB & CO., INC.	CAPITAL ADVISORS, INC.	May 5, 2004	May 13, 2004	8	Firm change	Other

Relationships

Registered with (6)

→ CALTON & ASSOCIATES, INC.Registered adviserregistration: current employment
Oct 3, 2013 to presentfactForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Jul 30, 2012 to Sep 5, 2013factForm ADV
→ SWBC INVESTMENT COMPANYRegistered adviserregistration: previous registration
Jan 5, 2007 to Jul 20, 2012factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Feb 24, 2005 to Feb 1, 2006factForm ADV
→ CAPITAL ADVISORS, INC.Registered adviserregistration: previous registration
May 13, 2004 to Feb 10, 2005factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Oct 11, 2000 to May 5, 2004factForm ADV

Dated events

No dated event names this entity yet.