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.

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

Dec 6, 1988earliest registration or exam on IAPD

Years in industry

37derivedfrom the industry start date

Years at current firm

14derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

1

Exams

S63|S66

First exam

Dec 6, 1988

First registration

Jan 15, 2009

Dual registered

yes, broker-dealer

Other names

JOHANA RUGGLES

IAPD individual key

1895135

Graph

RIA / Wealth Management

Canonical id

dfx:ria:88bae2bc-114f-39d2-8f4c-b8a2ab673a2c

First observed

Jan 15, 2009

Last observed

Sep 14, 2026 5 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.