JT
James F. Thomas
CALTON & ASSOCIATES
San Diego, CA 92131
Some features on this profile are disabled
CRD#: 1101127
JT
Professional summary
James Francis Thomas JR, CFP®, who also goes by Buddy Thomas, James Frances Thomas Jr, Jr James Frances Thomas, is a registered financial advisor currently at CALTON & ASSOCIATES, INC. located in San Diego, California and CARMEL CAPITAL PARTNERS, LLC located in San Diego, California.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. James has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Buddy Thomas | James Frances Thomas Jr | Jr James Frances Thomas
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.
1) Catholic Community Foundation of San Diego. Non-investment related. 4747 Morena Blvd, STE 300 San Diego CA, 92117. Nature of Business: Receive manage safe guard and grow investments that support organizations and donors carrying out the mission of the catholic faith. Title: Trustee. Start Date: 11/01/2017. Hours per Month: 10. Duties: Attending board meetings and providing input for fund raisers. 2) Carmel Capital Partners, 11750 SORRENTO VALLEY ROAD SUITE 110, San Diego, 92121. IAR, Investment Related, 40 hours/month. 3) Build a Miracle. Non-Investment related. 11207 Lady Fern CT. San Diego CA, 92131. Nature of Business: Volunteers participating in building homes for the homeless, education, and employment. Title: Trustee/Director. Start Date: 01/01/2018. Hours per Month: 3. Duties: Board member/volunteering. 4) James F. Thomas, Jr. Non-investment related. 9780 Caminito Laswane, San Diego, CA 92131. Life Insurance Agent. Owner/Agent. Start date: 06/01/1982. Hours/ month: 1. Hours/month during securities trading hours: 0. Life, health, disability and long term care insurance agent. 5) Owner employee of Superior Planning Inc a California RIA. As an owner employee of an RIA I am eligible to receive a salary plus performance bonus. 6) Superplan Systems, LLC; Non-Investment related; 9820 Willow Creek Rd # 105; San Diego, CA 92131; Intellectual Property and Trademark Licensing; Owner/Sole Proprietor; Start Date: 07/05/2023; Hours/month: 4; Hours/month during securities trading hours: 0; Content creation and marketing. 7) Acutis, LLC; Non-investment related; 9820 Willow Creek Rd # 105; San Diego, CA 92131; Holding company of all shares (100%) Advice Engagement, Inc; Managing Member; Start Date: 9/1/2023; Hours/month: 4; Hours/month during securities trading hours: 0; Managing member of Holding Company /Administrative Duties. 8) Advice Engagement, Inc; Non-investment related; 9820 Willow Creek Rd Ste 105, San Diego, CA 92131; Software as a Service; President; Owner/Sole Proprietor; Start Date: 09/01/2023; Hours/month: 10; Hours/month during securities trading hours: 0. President and product development.
CRS (Client Relationship Summary) - RIA
Click below to view James Francis Thomas JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Francis Thomas JR'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®
CFP®
Start date: 1985
Experience
Current
June 2, 2015 - Present
CALTON & ASSOCIATES, INC.
Office #1: 10085 Carroll Canyon Rd. Suite 150, San Diego, CA 92131RIA
BD
CRD#: 20999
San Diego, CA
Current
July 25, 2022 - Present
CARMEL CAPITAL PARTNERS, LLC
Office #1: 9820 Willow Creek Road Suite 105, San Diego, CA 92131RIA
CRD#: 123907
San Diego, CA
Current
September 20, 2024 - Present
SUPERIOR PLANNING WEALTH MANAGEMENT & FAMILY OFFICE
Office #1: 10085 Carroll Canyon Road Suite 150, San Diego, CA 92131RIA
CRD#: 130711
SAN DIEGO, CA
Current
June 2, 2015 - Present
CALTON & ASSOCIATES, INC.
Office #1: 10085 Carroll Canyon Rd. Suite 150, San Diego, CA 92131RIA
BD
CRD#: 20999
San Diego, CA
Past
June 4, 2012 - June 3, 2015
CAPITAL ANALYSTS
RIA
CRD#: 162200
LAJOLLA, CA
Past
June 1, 2012 - June 3, 2015
LINCOLN INVESTMENT
RIA
CRD#: 519
LAJOLLA, CA
Past
June 1, 2012 - June 3, 2015
LINCOLN INVESTMENT
BD
CRD#: 519
LAJOLLA, CA
Past
June 7, 2004 - September 13, 2024
SUPERIOR PLANNING WEALTH MANAGEMENT & FAMILY OFFICE
RIA
CRD#: 130711
LA JOLLA, CA
Past
April 25, 2002 - June 1, 2012
CINCINNATI ANALYSTS, INC.
RIA
CRD#: 5478
LAJOLLA, CA
Past
August 12, 1997 - June 1, 2012
CINCINNATI ANALYSTS, INC.
BD
CRD#: 5478
LAJOLLA, CA
Past
March 3, 1983 - August 13, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 5496
WELLESLEY HILLS, MA
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(7/1/2015)
RR
California(6/2/2015)
IAR
California(6/2/2015)
RR
Connecticut(4/24/2024)
RR
New York(6/2/2015)
RR
Ohio(6/2/2015)
RR
Oregon(9/17/2021)
RR
Texas(5/19/2022)
RR
Washington(10/12/2016)
Exams
State Security Law Exam
General Industry/Product 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.
