CL
Christopher K. Licata
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CRD#: 1687908
CL
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Christopher Kent Licata, who also goes by Chris Licata, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1987. Christopher had worked at 20 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Chris Licata
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
September 6, 2013 - May 16, 2016
CALTON & ASSOCIATES, INC.
BD
CRD#: 20999
HERMOSA BEACH, CA
Past
May 5, 2010 - November 7, 2011
LPL FINANCIAL LLC
BD
CRD#: 6413
DOWNEY, CA
Past
January 6, 2010 - May 6, 2010
STATE FARM VP MANAGEMENT CORP.
BD
CRD#: 43036
BLOOMINGTON, IL
Past
May 2, 2009 - November 13, 2009
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
TORRANCE, CA
Past
May 2, 2009 - November 13, 2009
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
TORRANCE, CA
Past
March 23, 2009 - May 2, 2009
WAMU INVESTMENTS, INC.
RIA
CRD#: 599
IRVINE, CA
Past
April 4, 2008 - May 2, 2009
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
Past
March 5, 2007 - March 27, 2008
TRANSAMERICA CAPITAL, LLC
BD
CRD#: 8217
DENVER, CO
Past
April 21, 2005 - February 5, 2007
VP DISTRIBUTORS LLC
BD
CRD#: 3036
HARTFORD, CT
Past
July 10, 2003 - April 26, 2005
DWS DISTRIBUTORS, INC.
BD
CRD#: 37306
CHICAGO, IL
Past
August 10, 2000 - August 6, 2002
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
BD
CRD#: 40178
FRANKLIN, TN
Past
August 13, 1998 - July 15, 1999
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
January 16, 1996 - May 13, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
BD
CRD#: 19924
Past
June 6, 1995 - January 17, 1996
ASB FINANCIAL SERVICES
BD
CRD#: 24280
IRVINE, CA
Past
May 4, 1995 - June 12, 1995
BA INVESTMENT SERVICES, INC.
BD
CRD#: 12965
OAKLAND, CA
Past
September 30, 1993 - June 2, 1994
FINANCIAL HORIZONS SECURITIES CORPORATION
BD
CRD#: 20221
Past
December 9, 1992 - April 19, 1995
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
May 11, 1992 - December 14, 1992
DIME SECURITIES, INC.
BD
CRD#: 28955
BROOKLYN, NY
Past
March 26, 1992 - May 20, 1992
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
October 1, 1990 - March 17, 1992
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
February 1, 1989 - October 26, 1990
EMPIRE NATIONAL SECURITIES, INCORPORATED
BD
CRD#: 7361
Past
July 21, 1987 - January 31, 1989
BLINDER, ROBINSON & CO., INC.
BD
CRD#: 5096
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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.
