SB
Steven E. Blanke
CALTON & ASSOCIATES
Garland, TX 75040
Some features on this profile are disabled
CRD#: 1486109
SB
Professional summary
Steven Earle Blanke is a registered financial advisor currently at CALTON & ASSOCIATES, INC. located in Garland, Texas.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Steven has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 22, Series 6 and Series 26 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: Insurance Agency Marketing Services, Inc. Investment related. Address: 505 North 210th Street, Elkhorn, NE 68022. Nature of Business: Fixed Annuity, SIPA, and Life Insurance. Position/Title/Relationship: Agent. Hours per month: 65. Hours per month during Securities trading hours: 65. Duties/Responsibilities: I sell fixed annuities, SPIA's and Life Insurance. Start Date: 06/12/2018.
No. 2) Name of Business: Pre Paid Legal. Non-Investment related. Address: 1 Pre-Paid Way, ADA, OK 74820. Nature of Business: Legal services and Identity Protection services. Position/Title/Relationship: Agent. Hours per month: 0. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Receive residuals from existing client base. Start Date: 07/2003.
No. 3) Name of Business: BAS Advisory Services, LLC DBA BAS Financial and Tax Services. Non-Investment related. Address: 675 Town Square Blvd., Building 1A, Suite 200, garland, TX 75040. Nature of Business: Insurance and Tax. Position/Title/Relationship: Owner. Hours per month: During tax season 6hrs a day, Non-tax season 2hrs a day. Hours per month during Securities trading hours: 20%. Duties/Responsibilities: Analyzing client's tax and insurance needs, and appropriate product offerings. Start Date: 03/08/2018.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Earle Blanke's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven Earle Blanke'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
June 22, 2017 - Present
CALTON & ASSOCIATES, INC.
Office #1: 675 Town Square Blvd. Bldg 1a Suite 200, Garland, TX 75040RIA
BD
CRD#: 20999
Garland, TX
Current
May 18, 2017 - Present
CALTON & ASSOCIATES, INC.
Office #1: 675 Town Square Blvd. Bldg 1a Suite 200, Garland, TX 75040RIA
BD
CRD#: 20999
Garland, TX
Past
May 18, 2017 - May 30, 2017
CALTON & ASSOCIATES, INC.
RIA
CRD#: 20999
Garland, TX
Past
June 6, 2006 - May 17, 2017
CAPITAL FINANCIAL SERVICES, INC.
RIA
CRD#: 8408
Garland, TX
Past
June 6, 2006 - May 17, 2017
CAPITAL FINANCIAL SERVICES, INC.
BD
CRD#: 8408
Garland, TX
Past
March 5, 2004 - June 5, 2006
LEGACY FINANCIAL SERVICES, INC.
BD
CRD#: 38697
RICHARDSON, TX
Past
March 3, 2004 - June 5, 2006
LEGACY ADVISORY SERVICES, INC.
RIA
CRD#: 111027
RICHARDSON, TX
Past
August 18, 1999 - February 20, 2004
EASTERN POINT ADVISORS INC.
RIA
CRD#: 107123
CLINTON, MD
Past
April 13, 1999 - February 20, 2004
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
LYNNFIELD, MA
Past
October 10, 1995 - April 8, 1999
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Past
June 4, 1986 - September 15, 1995
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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(7/28/2022)
RR
Delaware(1/12/2022)
RR
Florida(8/10/2017)
RR
Hawaii(4/6/2023)
RR
Maryland(5/18/2017)
RR
North Carolina(6/30/2017)
RR
Texas(6/22/2017)
IAR
Texas(6/22/2017)
RR
Virginia(5/18/2017)
RR
Wisconsin(8/8/2017)
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.
