JP
John D. Powell
CALTON & ASSOCIATES
Northport, FL
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CRD#: 1196945
JP
Professional summary
John David Powell is a registered financial advisor currently at CALTON & ASSOCIATES, INC. located in Northport, Florida.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. John has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22 and Series 39 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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: Grand York Rite of Florida. Investment related. Address: 1907 Cardamon Dr., Trinity, Florida 34655. Nature of Business: Pro Bono advice. Position/Title/Relationship: Advice G.M. Start Date: 2006. Hours per month: 5-10. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Strictly pro bono advice to the Grand Masters. These accounts are held by other broker dealers.
No. 2) Name of Business: Florida Budget Realty. Non-Investment related. Address: 2831 Ringling Blvd. #122F, Sarasota, FL 34237. Nature of Business: Real Estate. Position/Title/Relationship: Inactive Agent. Start Date: 2000. Hours per month: 0. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Keep real estate license current.
No. 3) Name of Business: Rental Property. Non-Investment related. Address: 40 Skyline Dr., Holden, ME 04419. Nature of Business: Personal rental property. Position/Title/Relationship: Owner. Start Date: 1993. Hours per month: 2. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Handle rent.
No. 4) Name of Business: FINRA. Non-Investment related. Address: 1735 K St. NW, Washington, DC 20006. Nature of Business: Arbitration for Finra. Position/Title/Relationship: Arbitrator. Start Date: 2018. Hours per month: 10. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Set in judgment for and decide Arbitration cases.
CRS (Client Relationship Summary) - RIA
Click below to view John David Powell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John David Powell'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
April 2, 2012 - Present
CALTON & ASSOCIATES, INC.
RIA
BD
CRD#: 20999
Northport, FL
Current
February 28, 2012 - Present
CALTON & ASSOCIATES, INC.
RIA
BD
CRD#: 20999
Sarasota, FL
Past
June 17, 2011 - February 10, 2012
SB ADVISORY, LLC
RIA
CRD#: 154680
BRADENTON, FL
Past
January 12, 2011 - February 10, 2012
IFS SECURITIES
BD
CRD#: 40375
BRADENTON, FL
Past
January 5, 2010 - January 14, 2011
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
SARASOTA, FL
Past
December 23, 2009 - January 14, 2011
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
SARASOTA, FL
Past
March 2, 2009 - December 23, 2009
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
SARASOTA, FL
Past
August 23, 2007 - December 23, 2009
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
SARASOTA, FL
Past
May 24, 2006 - September 18, 2007
SII INVESTMENTS, INC.
BD
CRD#: 2225
SARASOTA, FL
Past
January 9, 2003 - January 18, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
August 8, 1984 - January 9, 2003
LAND MARK, INC.
BD
CRD#: 14204
BANGOR, ME
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
Arkansas(1/21/2015)
RR
California(2/9/2018)
RR
Florida(4/2/2012)
IAR
Florida(4/2/2012)
RR
Maine(2/28/2012)
RR
Massachusetts(5/22/2023)
RR
Michigan(10/6/2015)
RR
Ohio(10/27/2017)
RR
South Carolina(2/28/2012)
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.
