PR
Paul R. Richardson
CALTON & ASSOCIATES
TAMPA, FL 33607
Some features on this profile are disabled
CRD#: 1006146
PR
Professional summary
Paul Reid Richardson, who also goes by Paul R Richardson, is a registered financial advisor currently at CALTON & ASSOCIATES, INC. located in Tampa, Florida.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Paul has worked at 22 firms and has passed the Series 65, Series 63, Series 99TO, Series 57TO, Series 52TO, SIE, Series 55, Series 15, Series 5, Series 3, Series 7, Series 14, Series 53, Series 27, Series 4, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Paul R Richardson
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Supervisor at Nancy Barron and Associates CRD# 30201
CRS (Client Relationship Summary) - RIA
Click below to view Paul Reid Richardson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Paul Reid Richardson's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 13, 2013 - Present
CALTON & ASSOCIATES, INC.
Office #1: 2701 N. Rocky Point Drive Suite 1000, Tampa, FL 33607Office #2: 2701 N Rocky Point Drive Suite 1000, Tampa, FL 33607Office #3: 2701 N. Rocky Point Drive Suite 1000, Tampa, FL 33607RIA
BD
CRD#: 20999
TAMPA, FL
Current
August 6, 2013 - Present
CALTON & ASSOCIATES, INC.
Office #1: 2701 N. Rocky Point Drive Suite 1000, Tampa, FL 33607Office #2: 2701 N Rocky Point Drive Suite 1000, Tampa, FL 33607Office #3: 2701 N Rocky Point Drive Suite 1000, Tampa, FL 33607RIA
BD
CRD#: 20999
TAMPA, FL
Past
March 18, 2013 - August 23, 2013
CL WEALTH MANAGEMENT, LLC
RIA
CRD#: 164963
NEW YORK, NY
Past
September 18, 2012 - August 23, 2013
CABOT LODGE SECURITIES LLC
BD
CRD#: 159712
TAMPA, FL
Past
August 6, 2012 - December 5, 2012
VICTORY ADVISORS LLC
RIA
CRD#: 164837
TEMPLE TERRACE, FL
Past
July 24, 2012 - August 9, 2012
POINTE ATLANTIC, INC
BD
CRD#: 46599
TEMPLE TERRACE, FL
Past
May 25, 2012 - September 5, 2012
CORNERSTONE SECURITIES LLC
RIA
CRD#: 140379
TEMPLE TERRACE, FL
Past
June 6, 2011 - June 14, 2012
BROOKSTONE SECURITIES, INC.
RIA
CRD#: 13366
LAKELAND, FL
Past
June 1, 2011 - June 14, 2012
BROOKSTONE SECURITIES, INC.
BD
CRD#: 13366
LAKELAND, FL
Past
July 7, 2009 - December 22, 2009
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
TAMPA, FL
Past
November 21, 2006 - January 3, 2007
GREAT EASTERN SECURITIES, INC.
BD
CRD#: 2061
NEW YORK, NY
Past
April 6, 2006 - July 31, 2007
POINTE ATLANTIC, INC
BD
CRD#: 46599
BOCA RATON, FL
Past
February 9, 2006 - February 17, 2006
SALOMON GREY FINANCIAL CORPORATION
RIA
CRD#: 43413
BOCA RATON, FL
Past
February 9, 2006 - February 17, 2006
SALOMON GREY FINANCIAL CORPORATION
BD
CRD#: 43413
DALLAS, TX
Past
August 9, 2005 - March 2, 2011
JHS CAPITAL ADVISORS, LLC
RIA
CRD#: 112097
TAMPA, FL
Past
June 1, 2005 - November 11, 2005
STERLING FINANCIAL INVESTMENT GROUP, INC.
BD
CRD#: 41506
BOCA RATON, FL
Past
July 30, 2004 - March 2, 2011
JHS CAPITAL ADVISORS, LLC
BD
CRD#: 112097
TAMPA, FL
Past
June 17, 2003 - August 6, 2004
STERLING FINANCIAL INVESTMENT GROUP, INC.
BD
CRD#: 41506
BOCA RATON, FL
Past
August 31, 2000 - June 20, 2003
CONTINENTAL BROKER-DEALER CORP.
BD
CRD#: 14048
CARLE PLACE, NY
Past
October 15, 1999 - February 12, 2000
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
January 5, 1998 - July 7, 1999
JWGENESIS SECURITIES, INC.
BD
CRD#: 33832
BOCA RATON, FL
Past
August 27, 1996 - October 31, 1997
KEY CLEARING CORP.
BD
CRD#: 37595
BROOKLYN, OH
Past
April 3, 1996 - August 12, 1996
ROTH CAPITAL PARTNERS, LLC
BD
CRD#: 15407
NEWPORT BEACH, CA
Past
April 28, 1995 - February 15, 1996
H.J. MEYERS & CO., INC.
BD
CRD#: 15609
ROCHESTER, NY
Past
May 14, 1988 - May 21, 1988
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
May 6, 1988 - March 28, 1995
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
March 1, 1984 - May 14, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
September 17, 1981 - March 15, 1984
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
C&
CALTON & ASSOCIATES, INC.
CALTON | IEP FINANCIAL | CALTON & ASSOCIATES, INC.
CRD#: 20999 / SEC#: 801-70036, 8-38635
RIA
Registered Investment Advisory firm - SEC (4/7/2009 Approved)California
Registered Investment Advisory firm - SEC (4/13/2009 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/20/2009 Terminated)Delaware
Registered Investment Advisory firm - SEC (4/23/2009 Terminated)Florida
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Georgia
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Kansas
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Kentucky
Registered Investment Advisory firm - SEC (4/14/2009 Terminated)Michigan
Registered Investment Advisory firm - SEC (5/7/2009 Terminated)Mississippi
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Missouri
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Montana
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Nebraska
Registered Investment Advisory firm - SEC (4/17/2009 Terminated)Nevada
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)New Jersey
Registered Investment Advisory firm - SEC (4/14/2009 Terminated)North Carolina
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Tennessee
Registered Investment Advisory firm - SEC (5/9/2009 Terminated)Texas
Registered Investment Advisory firm - SEC (4/7/2009 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(8/21/2013)
RR
Florida(8/6/2013)
IAR
Florida(8/13/2013)
RR
Missouri(9/19/2016)
RR
New Jersey(8/19/2013)
RR
New York(9/13/2013)
RR
North Carolina(7/23/2015)
RR
Ohio(8/6/2013)
RR
Pennsylvania(8/22/2013)
RR
South Carolina(7/14/2015)
RR
Texas(8/19/2013)
IAR
Texas(8/19/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 1/26/2004
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
RR
Series 15
Date: 7/3/1989
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 7/3/1989
Interest Rate Options ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 2/3/1984
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
C&
CALTON & ASSOCIATES, INC.
CALTON | IEP FINANCIAL | CALTON & ASSOCIATES, INC.
CRD#: 20999 / SEC#: 801-70036, 8-38635
RIA
Registered Investment Advisory firm - SEC (4/7/2009 Approved)California
Registered Investment Advisory firm - SEC (4/13/2009 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/20/2009 Terminated)Delaware
Registered Investment Advisory firm - SEC (4/23/2009 Terminated)Florida
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Georgia
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Kansas
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Kentucky
Registered Investment Advisory firm - SEC (4/14/2009 Terminated)Michigan
Registered Investment Advisory firm - SEC (5/7/2009 Terminated)Mississippi
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Missouri
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Montana
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Nebraska
Registered Investment Advisory firm - SEC (4/17/2009 Terminated)Nevada
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)New Jersey
Registered Investment Advisory firm - SEC (4/14/2009 Terminated)North Carolina
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Tennessee
Registered Investment Advisory firm - SEC (5/9/2009 Terminated)Texas
Registered Investment Advisory firm - SEC (4/7/2009 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
2701 N Rocky Point Drive Suite 1000, Tampa, FL 33607
Mailing Address
2701 N Rocky Point Drive Suite 1000, Tampa, FL 33607
Phone number
(813) 264-0440
Established
Florida since 09/17/1987
Firm type
Corporation
Fiscal year end
September
Firm Size
Medium
# of Employees
515
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CICCATI, RANDALL LEE | CEO / DIRECTOR | 1569353 |
| CICCATI, RANDALL LEE | SHAREHOLDER | 1569353 |
| SINGH, RAMESHWAR | DIRECTOR / SECRETARY /PRESIDENT OF ADVISORY SERVICES | 4660047 |
| SINGH, RAMESHWAR | SHAREHOLDER | 4660047 |
| CICCATI, JILL MARIE | SHAREHOLDER | |
| THE LOUIS CICCATI AND ADELINE CARMELA CICCATI REVOCABLE TRUST | SHAREHOLDER, LOUIS CICCATI AND ADELINE CARMELA CICCATI, TTEE | |
| CALTON, DEREK JAY | VICE PRESIDENT - DIRECTOR | 1192608 |
| CALTON, DWAYNE KENT | PRESIDENT - DIRECTOR | |
| CICCATI, ADELINE CARMELA | TRUSTEE OF THE LOUIS CICCATI AND ADELINE CARMELA CICCATI REVOCABLE TRUST | |
| CICCATI, AUSTIN LOUIS | SHAREHOLDER | 6351650 |
| CICCATI, CARLY MARIE | SHAREHOLDER | 6351667 |
| COLE, DAVID SCOTT | CHIEF FINANCIAL OFFICER/FINOP | 4181156 |
| RAHMOUNI IDRISSI, SAAD | CHIEF COMPLIANCE OFFICER | 4071743 |
| RICHARDSON, PAUL REID | CHIEF OPERATIONS OFFICER | 1006146 |
Regulatory assets under management
| Total Number of Accounts | 7,559 |
| AUM (Assets Under Management) | $ 1,216,021,701 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CALTON & ASSOCIATES, INC.
CRD#: 20999Tampa, FL 33607TRUST BUT VERIFY
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