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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

RICHARD LYNN HAVARD

Advisor at CALTON & ASSOCIATES, INC.

TAMPA, FL | Prosper, TX

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Search this name across graphsid dfx:ria:62100d82-50cb-2202-edc9-1d1ee4d92eca

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Apr 29, 2002 to Sep 15, 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: Mar 15, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Mar 15, 1994
First registration: Apr 29, 2002
Dual registered: yes, broker-dealer
Other names: RICK HAVARD
IAPD individual key: 2070672

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 25, 2023	n/a	yes	TAMPA, FL\|Prosper, TX	Current employment
GQO INVESTMENT ADVISORS, INC.	State registered	Mar 26, 2022	Oct 24, 2023	no	PROSPER, TX	Previous registration
DOMINION PORTFOLIO MANAGEMENT, INC.	Independent wealth	Dec 1, 2017	Apr 1, 2020	no	PROSPER, TX\|TAMPA, FL	Previous registration
INVEST FINANCIAL CORPORATION	Former SEC adviser	Nov 7, 2007	Oct 23, 2017	no	MINEOLA, TX\|HAWKINS, TX\|QUITMAN, TX\|LINDALE, TX\|APPLETON, WI\|PROSPER, TX	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Apr 29, 2002	Nov 8, 2007	no	DALLAS, TX\|FRISCO, TX	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
GQO INVESTMENT ADVISORS, INC.	CALTON & ASSOCIATES, INC.	Oct 24, 2023	Oct 25, 2023	1	Firm change	Other
DOMINION PORTFOLIO MANAGEMENT, INC.	GQO INVESTMENT ADVISORS, INC.	Apr 1, 2020	Mar 26, 2022	724	Firm change after gap	RIA to state RIA
INVEST FINANCIAL CORPORATION	DOMINION PORTFOLIO MANAGEMENT, INC.	Oct 23, 2017	Dec 1, 2017	39	Firm change	Other
SECURITIES AMERICA ADVISORS, INC.	INVEST FINANCIAL CORPORATION	Nov 8, 2007	Nov 7, 2007	-1	Firm change	Other

Relationships

Registered with (5)

→ CALTON & ASSOCIATES, INC.Registered adviserregistration: current employment
Oct 25, 2023 to presentfactForm ADV
→ GQO INVESTMENT ADVISORS, INC.Registered adviserregistration: previous registration
Mar 26, 2022 to Oct 24, 2023factForm ADV
→ DOMINION PORTFOLIO MANAGEMENT, INC.Registered adviserregistration: previous registration
Dec 1, 2017 to Apr 1, 2020factForm ADV
→ INVEST FINANCIAL CORPORATIONRegistered adviserregistration: previous registration
Nov 7, 2007 to Oct 23, 2017factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Apr 29, 2002 to Nov 8, 2007factForm ADV

Dated events

Occurred
Oct 24, 2023
Advisor changed firm
Richard Lynn Havard left Gqo Investment Advisors, Inc. for Calton & Associates, Inc. (registered 2023-10-25)
Form ADVobserved 6 days ago