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RIA / WealthAdvisordual registered (broker-dealer)43 years in industry

PHILLIP RICHARD ANTON

Advisor at CALTON & ASSOCIATES, INC.

TAMPA, FL | Yorba Linda, CA

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Search this name across graphsid dfx:ria:9e947008-0722-e744-e669-25780a29c568

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 1, 2000 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: Apr 7, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Apr 7, 1983
First registration: Mar 1, 2000
Dual registered: yes, broker-dealer
IAPD individual key: 1025842

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	Jan 7, 2025	n/a	yes	TAMPA, FL\|Yorba Linda, CA	Current employment
NEWPORT COAST ASSET MANAGEMENT	Former SEC adviser	Dec 23, 2009	Aug 30, 2016	no	NEW YORK, NY\|IRVINE, CA\|BREA, CA	Previous registration
WEDBUSH SECURITIES INC.	Bd affiliated wealth	Jun 27, 2007	Dec 31, 2009	no	LOS ANGELES, CA\|BREA, CA\|PASADENA, CA	Previous registration
BROOKSTREET SECURITIES CORPORATION	n/a	Mar 1, 2000	Jul 13, 2007	no	BREA, CA	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
NEWPORT COAST ASSET MANAGEMENT	CALTON & ASSOCIATES, INC.	Aug 30, 2016	Jan 7, 2025	3,052	Firm change after gap	Other
WEDBUSH SECURITIES INC.	NEWPORT COAST ASSET MANAGEMENT	Dec 31, 2009	Dec 23, 2009	-8	Firm change	Other
BROOKSTREET SECURITIES CORPORATION	WEDBUSH SECURITIES INC.	Jul 13, 2007	Jun 27, 2007	-16	Firm change	Other

Relationships

Registered with (4)

→ CALTON & ASSOCIATES, INC.Registered adviserregistration: current employment
Jan 7, 2025 to presentfactForm ADV
→ NEWPORT COAST ASSET MANAGEMENTRegistered adviserregistration: previous registration
Dec 23, 2009 to Aug 30, 2016factForm ADV
→ WEDBUSH SECURITIES INC.Registered adviserregistration: previous registration
Jun 27, 2007 to Dec 31, 2009factForm ADV
→ BROOKSTREET SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Mar 1, 2000 to Jul 13, 2007factForm ADV

Dated events

No dated event names this entity yet.