KM
Kevin E. Moore
CALTON & ASSOCIATES
TAMPA, FL 33607
Some features on this profile are disabled
CRD#: 1594921
KM
Professional summary
Kevin Eugene Moore, CFP® is a registered financial advisor currently at CALTON & ASSOCIATES, INC. located in Tampa, Florida.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Kevin has worked at 9 firms and has passed the Series 63, Series 6TO, SIE, Series 7, Series 6 and Series 24 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.
1) Uber Technologies, Inc. Non-Investment related. Address: 3902 Monterrey Dr., Granbury, TX 76049. Nature of Business: Ride hailing service. Position/Title/Relationship: Partner. Start Date: 08/29/2016. Hours per month: 10. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Independent Driver. 2) Penguin Guns. Non-Investment related. Address: 7716 Hill City Hwy, Tolar, TX 76476. Nature of Business: DBA for sporting goods sales, including firearm transfers. Position/Title/Relationship: Owner. Start Date: 05/29/2014. Hours per month: 10. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Sole owner. 3) Moore Financial Group. Investment related. Address: 7716 Hill City Hwy, Tolar, TX 76476. Nature of Business: DBA for Independent Financial Advisor clearing through Calton & Associates. Position/Title/Relationship: Owner. Start Date: 04/13/2020. Hours per month: 175. Hours per month during Securities trading hours: 141. Duties/Responsibilities: Branch Manager and Advisor for investment related activities. 4) Outdoor Adventures, Non- Investment related. Address: 3902 Monterrey Dr. Granbury, TX 76049. Nature of Business: Scuba Instructor, Travel. Position/Title/Relationship: Owner. Started: 11/08 /2021. Hours Per Month:1 hour per month. Hours per month during trading hours, 0. Duties/Responsibilities: Perform Scuba Diving Instruction and other diving related services according to PADI standards. Receive free or discounted travel for booking groups. Perform diving search and recovery activities for pay and volunteer. 5) Joe Ed's Sports Bar; Non-Investment related; 112 N Houston St, Granbury, TX 76048; Nature of Business: Bartender; Position/Title/Relationship: Employee; Start Date: 10/17/2025; Hours/month: 20; Hours/month during securities trading hours: 0; Duties: Bartender as needed, barback, cook.
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Eugene Moore's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kevin Eugene Moore'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: 2005
Experience
Current
April 13, 2020 - Present
CALTON & ASSOCIATES, INC.
Office #1: 2701 N. Rocky Point Drive Suite 1000, Tampa, FL 33607Office #2: 7716 Hill City Hwy, Tolar, TX 76476RIA
BD
CRD#: 20999
TAMPA, FL
Current
April 13, 2020 - Present
CALTON & ASSOCIATES, INC.
Office #1: 2701 N Rocky Point Drive Suite 1000, Tampa, FL 33607Office #2: 7716 Hill City Hwy, Tolar, TX 76476RIA
BD
CRD#: 20999
TAMPA, FL
Past
April 11, 2006 - March 23, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
GRANBURY, TX
Past
April 11, 2006 - March 23, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
GRANBURY, TX
Past
February 14, 2006 - April 4, 2006
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
FT WORTH, TX
Past
May 6, 2004 - April 4, 2006
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
ST. PETERSBURG, FL
Past
July 14, 2003 - May 10, 2004
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
LINCOLN, NE
Past
March 18, 2003 - August 15, 2003
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
December 7, 2001 - February 11, 2003
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
LINCOLN, NE
Past
April 12, 2001 - August 8, 2001
MANULIFE WOOD LOGAN, INC.
BD
CRD#: 19177
STAMFORD, CT
Past
April 3, 2000 - March 14, 2001
J.P. SECURITIES, INC.
BD
CRD#: 36559
BELLEVUE, NE
Past
September 17, 1987 - January 29, 1993
MANULIFE WOOD LOGAN, INC.
BD
CRD#: 19177
Past
December 4, 1986 - March 16, 1987
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
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
New Mexico(12/22/2023)
RR
North Carolina(11/4/2021)
RR
Oklahoma(6/2/2020)
RR
Texas(4/13/2020)
IAR
Texas(4/13/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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#: 20999Tampa, FL 33607TRUST BUT VERIFY
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