Timothy A. Sheffield

CALTON & ASSOCIATES

Arlington, TN

Some features on this profile are disabled

CRD#: 1694021

Professional summary

Timothy Alan Sheffield is a registered financial advisor currently at CALTON & ASSOCIATES, INC. located in Arlington, Tennessee.

Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Timothy has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 52, Series 6, Series 24 and Series 53 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Alan Sheffield's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Timothy Alan Sheffield's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 9, 2011 - Present

CALTON & ASSOCIATES, INC.

RIA

CRD#: 20999

Arlington, TN

Current

November 24, 1999 - Present

CALTON & ASSOCIATES, INC.

RIA

CRD#: 20999

Arlington, TN

Past

February 5, 1999 - December 9, 1999

DRAKE & COMPANY, INC.

CRD#: 16227

NEW YORK, NY

Past

June 12, 1995 - February 5, 1999

PARAGON CAPITAL MARKETS, INC.

CRD#: 18555

EAST HANOVER, NJ

Past

August 6, 1987 - May 25, 1995

MUNICIPAL SECURITIES, INCORPORATED

CRD#: 6163

MEMPHIS, TN

Past

June 16, 1987 - August 10, 1987

GENERAL FINANCIAL SERVICES, INC.

CRD#: 17964

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".

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)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Alabama
(3/11/2014)

California
(5/2/2024)

Florida
(11/24/1999)

Indiana
(9/16/2015)

Kentucky
(8/11/2000)

Mississippi
(6/14/2002)

North Carolina
(4/15/2021)

IAR

Tennessee
(8/9/2011)

Tennessee
(1/7/2016)

Texas
(11/24/1999)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/8/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/19/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/17/1991

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 10/19/1987

Municipal Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/15/1987

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/2/1996

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 11/7/1995

Municipal Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A DISCLOSURE BROCHURE (12/19/2024)

FORM ADV PART 2A APPENDIX 1 WRAP FEE PROGRAM DISCLOSURE BROCHURE (12/19/2024)

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Timothy A. Sheffield

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Alan Sheffield's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Timothy Alan Sheffield's CRS (Customer Relationship Summary).

Certified licenses

Experience

CALTON & ASSOCIATES, INC.

DRAKE & COMPANY, INC.

PARAGON CAPITAL MARKETS, INC.

MUNICIPAL SECURITIES, INCORPORATED

GENERAL FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CALTON & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/8/2011

Series 63

Date: 6/19/1987

SIE

Date: 10/1/2018

Series 7

Date: 7/17/1991

Series 52

Date: 10/19/1987

Series 6

Date: 6/15/1987

Series 24

Date: 10/2/1996

Series 53

Date: 11/7/1995

FINRA

Current Firm

CALTON & ASSOCIATES, INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CALTON & ASSOCIATES, INC.

TRUST BUT VERIFY

Similar Advisors