CALTON & ASSOCIATES, INC.

Broker-DealerFINRA MemberEst. 2009

Total AUM

$1.6B

Discretionary

$1.6B

99% of AUM

Accounts

6,969

Employees

373

Advisory reps

364

Brokerage reps

369

Firm details

Headquarters: TAMPA, Florida
CRD number: 20999
Registered since: April 7, 2009
Website: www.calton.com
Custodians: NATIONAL FINANCIAL SERVICES LLC, CHARLES SCHWAB & CO., INC., HILLTOP SECURITIES INC., GOLDMAN SACHS CUSTODY SOLUTIONS
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees, Commissions, Performance Based Fees
Client types: Individuals50.98%
HNWI40.99%
Pension & Profit Sharing Plans8.03%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other Advisers

Firm profile

FINTRX

Overview

Calton & Associates, Inc. operates as a corporate investment firm with broker-dealer and insurance broker functions; it is classified as both an investment bank and an independent broker-dealer. The firm has been SEC-registered since 2009 and acts as a capital allocator for both individual & family and institutional clients. Advisory services listed include financial planning, portfolio management for individuals/small businesses and for businesses/institutions, pension consulting, and selection of other advisers. Its fee model is multi-faceted—percentage of AUM, hourly and fixed fees, commissions, and performance-based fees are all used. The firm is not identified as an active ESG investor and is not marked as a multi-state registered adviser in the snapshot data. It maintains a role as an industry-affiliated investment adviser while also operating broker-dealer and insurance brokerage businesses.