JP
Jerome E. Pinckney
CALTON & ASSOCIATES
Wilmington, NC
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CRD#: 1567053
JP
Professional summary
Jerome Emmett Pinckney JR is a registered financial advisor currently at CALTON & ASSOCIATES, INC. located in Wilmington, North Carolina.
Jerome is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Jerome has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 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: Providence Investment Advisors, LLC. Investment related. Address: 3821 Gillette Dr., Wilmington, NC 28403. Nature of Business: DBA for Investments. Position/Title/Relationship: Partner. Start Date: 07/15/2019. Hours per month: 160. Hours per month during Securities trading hours: 8. Duties/Responsibilities: Manager. No. 2) Name of Business: Scott Hill Wesleyan Chapel Men's Club. Non-Investment related. Address: 10255 Hwy 17 North, Wilmington, NC 28411. Nature of Business: Men's Club. Position/Title/Relationship: Member. Start Date: 01/01/2016. Hours per month: 6. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Cook a meal. No. 3) Name of Business: Physicians Mutual Insurance Company. Non-Investment related. Address: 11111 Carmel Commons Blvd., Suite 240, Charlotte, NC 25226. Nature of Business: Medicare Supplement Insurance. Position/Title/Relationship: Independent Sales Agent. Start Date: 10/01/2020. Hours per month: 10. Hours per month during Securities trading hours: 1. Duties/Responsibilities: Sell Medicare Supplement Insurance. 4)Trustee;not investment related;trust settlement;successor trustee;9/2017;40 hrs/year;successor trustee
CRS (Client Relationship Summary) - RIA
Click below to view Jerome Emmett Pinckney JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jerome Emmett Pinckney 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®
NoneExperience
Current
July 12, 2019 - Present
CALTON & ASSOCIATES, INC.
RIA
BD
CRD#: 20999
Wilmington, NC
Current
July 1, 2019 - Present
CALTON & ASSOCIATES, INC.
RIA
BD
CRD#: 20999
Wilmington, NC
Past
July 2, 2010 - June 30, 2019
PROVIDENCE INVESTMENT ADVISORS, LLC
RIA
CRD#: 153953
WILMINGTON, NC
Past
November 23, 2009 - July 1, 2019
TRIAD ADVISORS LLC
BD
CRD#: 25803
WILMINGTON, NC
Past
November 18, 2009 - June 16, 2010
TRIAD ADVISORS LLC
RIA
CRD#: 25803
WILMINGTON, NC
Past
January 2, 2009 - October 13, 2009
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
WILMINGTON, NC
Past
November 24, 2008 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
WILMINGTON, NC
Past
November 14, 2008 - October 13, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
WILMINGTON, NC
Past
June 21, 2002 - November 17, 2008
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
WILMINGTON, NC
Past
June 15, 2002 - November 17, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
WILMINGTON, NC
Past
January 28, 2002 - June 21, 2002
WACHOVIA SECURITIES, INC.
RIA
CRD#: 431
WILMINGTON, NC
Past
January 23, 1995 - June 15, 2002
WACHOVIA SECURITIES, INC.
BD
CRD#: 431
CHARLOTTE, NC
Past
November 21, 1986 - February 7, 1995
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
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(7/12/2022)
RR
Georgia(7/1/2019)
RR
Nevada(7/1/2019)
RR
North Carolina(7/1/2019)
IAR
North Carolina(7/12/2019)
RR
South Carolina(7/1/2019)
RR
West Virginia(3/13/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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 | SHAREHOLDER | 1569353 |
| CICCATI, RANDALL LEE | CEO / DIRECTOR | 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.
