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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

STEVEN MARC HEINOWITZ

Advisor at CALTON & ASSOCIATES, INC.

TAMPA, FL | Hoboken, NJ

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Search this name across graphsid dfx:ria:89306b2c-6db4-2df6-74b8-a554dff2d26a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 3
On other graphs: 0
Observed: Jul 2, 2010 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: Jun 29, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jun 29, 2010
First registration: Jul 2, 2010
Dual registered: yes, broker-dealer
IAPD individual key: 5781894

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	Jul 15, 2025	n/a	yes	TAMPA, FL\|TAMPA, FL\|Hoboken, NJ	Current employment
HEROLD ADVISORS, INC.	Independent wealth	Apr 28, 2023	Aug 12, 2025	no	NEW YORK, NY\|Staten Island, NY	Previous registration
QUINT CAPITAL MANAGEMENT	Mixed wealth	Jan 18, 2022	May 1, 2023	no	NEW YORK, NY	Previous registration
WELLINGTON SHIELDS & CO., LLC	Independent wealth	Sep 4, 2019	Jan 19, 2022	no	NEW YORK, NY\|NEW YORK, NY	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Dec 1, 2014	Sep 12, 2019	no	New York, NY\|Long Island City, NY\|Greenwich, CT\|New York, NY\|NEW YORK, NY\|Long Island City, NY\|NEW YORK, NY\|NEW YORK, NY	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Jan 30, 2013	Dec 9, 2014	no	PARAMUS, NJ	Previous registration
MORGAN STANLEY	Wirehouse	Jul 2, 2010	Feb 14, 2013	no	PARAMUS, NJ	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
HEROLD ADVISORS, INC.	CALTON & ASSOCIATES, INC.	Aug 12, 2025	Jul 15, 2025	-28	Firm change	RIA to RIA
QUINT CAPITAL MANAGEMENT	HEROLD ADVISORS, INC.	May 1, 2023	Apr 28, 2023	-3	Firm change	RIA to RIA
WELLINGTON SHIELDS & CO., LLC	QUINT CAPITAL MANAGEMENT	Jan 19, 2022	Jan 18, 2022	-1	Firm change	RIA to RIA
CITIGROUP GLOBAL MARKETS INC.	WELLINGTON SHIELDS & CO., LLC	Sep 12, 2019	Sep 4, 2019	-8	Firm change	Ibd to RIA
RBC CAPITAL MARKETS, LLC	CITIGROUP GLOBAL MARKETS INC.	Dec 9, 2014	Dec 1, 2014	-8	Firm change	Other
MORGAN STANLEY	RBC CAPITAL MARKETS, LLC	Feb 14, 2013	Jan 30, 2013	-15	Firm change	Wirehouse to ibd

Relationships

Registered with (7)

→ CALTON & ASSOCIATES, INC.Registered adviserregistration: current employment
Jul 15, 2025 to presentfactForm ADV
→ HEROLD ADVISORS, INC.Registered adviserregistration: previous registration
Apr 28, 2023 to Aug 12, 2025factForm ADV
→ QUINT CAPITAL MANAGEMENTRegistered adviserregistration: previous registration
Jan 18, 2022 to May 1, 2023factForm ADV
→ WELLINGTON SHIELDS & CO., LLCRegistered adviserregistration: previous registration
Sep 4, 2019 to Jan 19, 2022factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Dec 1, 2014 to Sep 12, 2019factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Jan 30, 2013 to Dec 9, 2014factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jul 2, 2010 to Feb 14, 2013factForm ADV

Dated events

Occurred
Aug 12, 2025
Advisor changed firm
Steven Marc Heinowitz left Herold Advisors, Inc. for Calton & Associates, Inc. (registered 2025-07-15)
Form ADVobserved 5 days ago
Occurred
May 1, 2023
Advisor changed firm
Steven Marc Heinowitz left Quint Capital Management for Herold Advisors, Inc. (registered 2023-04-28)
Form ADVobserved 5 days ago
Occurred
Jan 19, 2022
Advisor changed firm
Steven Marc Heinowitz left Wellington Shields & Co., Llc for Quint Capital Management (registered 2022-01-18)
Form ADVobserved 5 days ago