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Advisor at CALTON & ASSOCIATES, INC.
Mitchell, SD | TAMPA, FL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| CALTON & ASSOCIATES, INC. | Independent wealth | Jul 15, 2019 | n/a | yes | TAMPA, FL|Mitchell, SD | Current employment |
| CAPITAL FINANCIAL SERVICES, INC. | Former SEC adviser | Jul 16, 2010 | Jul 10, 2019 | no | Minot, ND|OKOBOJI, IA|MITCHELL, SD | Previous registration |
| CETERA ADVISORS LLC | Former SEC adviser | Feb 12, 2003 | Dec 31, 2005 | no | MITCHELL, SD | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CAPITAL FINANCIAL SERVICES, INC. | CALTON & ASSOCIATES, INC. | Jul 10, 2019 | Jul 15, 2019 | 5 | Firm change | RIA to RIA |
| CETERA ADVISORS LLC | CAPITAL FINANCIAL SERVICES, INC. | Dec 31, 2005 | Jul 16, 2010 | 1,658 | Firm change after gap | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 8408:20999:SD:2019-07-01 | Jul 10, 2019 | Jul 15, 2019 | MITCHELL, SD | Firm change |