RK
Ronald A. Kerher
CALTON & ASSOCIATES
Sioux Falls, SD 57105
Some features on this profile are disabled
CRD#: 1012967
RK
Professional summary
Ronald Allen Kerher, who also goes by Ron Kerher, is a registered financial advisor currently at CALTON & ASSOCIATES, INC. located in Sioux Falls, South Dakota.
Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Ronald has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ron Kerher
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.
No. 1) Name of Business: Elite Resources Team. Non-Investment related. Address: 2101 W 41st St., Suite 112, Sioux Falls, SD 57105. Nature of Business: Consultation services. Position/Title/Relationship: Financial Advisor. Start Date: 10/02/2017. Hours per month: 2. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Consultation services to business owners through a group of CPA's, tax preparers, and other agents to provide tax strategies.
No. 2) Name of Business: Kerher Frazier Financial Inc. Investment related. Address: 2101 W 41st St. Suite 112, Sioux Falls, SD 57105. Nature of Business: DBA to collects trailing revenues form previously sold fixed indexed annuity sales. Position/Title/Relationship: President. Start Date: 03/01/1994. Hours per month: 0. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Kerher Frazier Financial Inc. collects renewals from fixed indexed annuity sales sold under this name. There is no new business solicited under this entity.
No. 3) Name of Business: Ronald A Kerher. Non-Investment related. Address: 2101 W 41st St. Suite 112, Sioux Falls, SD 57105. Nature of Business: Fixed insurance sales and service. Position/Title/Relationship: Agent. Start Date: 03/01/1994. Hours per month: 10. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Sales and service of fixed insurance products.
No. 4) Name of Business: Dakota Capital Management. Investment related. Address: 2101 W 41st St, Suite 112, Sioux Falls, SD 57105. Nature of Business: Previously used as RIA. Position/Title/Relationship: Member/Manager. Start Date: 09/07/2007. Hours per month: 0. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Previously used RIA, currently maintained to simply hold the business name only with the state of South Dakota. No business has been conducted under this entity since approximately May of 2010. No revenue is generated.
No. 5) Name of Business: Kerher Capital Management. Investment related. Address: 2101 W 41st St., Suite 112, Sioux Falls, SD 57105. Nature of Business: DBA for insurance sales, securities, and customer service. Position/Title/Relationship: Owner. Start Date: 03/11/2005. Hours per month: 1. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Policy sales, sale of securities and customer service.
CRS (Client Relationship Summary) - RIA
Click below to view Ronald Allen Kerher's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ronald Allen Kerher'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 7, 2019 - Present
CALTON & ASSOCIATES, INC.
Office #1: 2101 W 41st Street Suite 112, Sioux Falls, SD 57105RIA
BD
CRD#: 20999
Sioux Falls, SD
Current
July 31, 2019 - Present
CALTON & ASSOCIATES, INC.
Office #1: 2101 W 41st Street Suite 112, Sioux Falls, SD 57105RIA
BD
CRD#: 20999
Sioux Falls, SD
Past
May 20, 2011 - July 31, 2019
CAPITAL FINANCIAL SERVICES, INC.
RIA
CRD#: 8408
SIOUX FALLS, SD
Past
May 14, 2010 - July 31, 2019
CAPITAL FINANCIAL SERVICES, INC.
BD
CRD#: 8408
SIOUX FALLS, SD
Past
September 27, 2007 - December 3, 2010
DAKOTA CAPITAL MANAGEMENT, LLC
RIA
CRD#: 144881
SIOUX FALLS, SD
Past
October 18, 2005 - May 14, 2010
OKOBOJI FINANCIAL SERVICES, INC.
BD
CRD#: 33727
SIOUX FALLS, SD
Past
August 27, 2003 - December 31, 2006
KERHER CAPITAL MANAGEMENT
RIA
CRD#: 125943
SIOUX FALLS, SD
Past
September 20, 1999 - October 28, 2005
CETERA ADVISORS LLC
RIA
CRD#: 10299
SIOUX FALLS, SD
Past
August 20, 1999 - October 28, 2005
CETERA ADVISORS LLC
BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past
September 26, 1994 - August 25, 1999
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
March 8, 1994 - September 27, 1994
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
April 1, 1982 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
BD
CRD#: 6320
Past
April 1, 1982 - March 15, 1994
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
April 1, 1982 - March 15, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
Arizona(8/26/2019)
RR
California(7/31/2019)
RR
Florida(8/6/2019)
RR
Illinois(8/21/2019)
RR
Iowa(8/16/2019)
RR
Kansas(7/31/2019)
RR
Minnesota(7/31/2019)
RR
Nevada(8/12/2019)
RR
South Dakota(8/7/2019)
IAR
South Dakota(8/7/2019)
RR
Texas(7/31/2019)
RR
Washington(8/8/2019)
RR
Wisconsin(7/31/2019)
RR
Wyoming(7/31/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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#: 20999Sioux Falls, SD 57105TRUST BUT VERIFY
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