Calton & Associates Inc.
2701 N. Rocky Point Drive, Suite 1000
Tampa, FL 33607
Clearing firm: Hilltop Securities Inc, National Financial Services LLC
No. advisers: 355
No. franchises: 136
Recruitment & Staffing
|No. of reps||355||313||320|
|No. of producing reps||—||—||—|
|No. of reps producing $100K-$499K /year||—||—||—|
September 10, 2019 - LPL Financial fired Mark Lamkin last year. Now the Louisville, Ken.-based adviser is fighting for his professional life. After Mr. Lamkin faced allegations in August 2018 that he received loans from clients, failed to disclose outside business activity...
October 6, 2016 - The Texas State Securities Board has banned a broker from recommending alternative investments, including nontraded real estate investment trusts, after the broker loaded up a client with too many of those investments. The broker, Mickey Long, was hit...
- N/A = Not available
- N/D = Not disclosed
- — = Information not available or not disclosed
All 2011-2016 recruitment and staffing data is as of Dec. 31 in the calendar year displayed. Prior year recruitment and staffing data is as of Sept. 30. All financial figures are for firms' year end, unless noted.
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