ML
M F Long
CALTON & ASSOCIATES
Denton, TX
Some features on this profile are disabled
CRD#: 1778299
ML
Professional summary
M F Long II, who also goes by M F Long II, Mickey Long Ii, is a registered financial advisor currently at CALTON & ASSOCIATES, INC. located in Denton, Texas.
M F is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. M F has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
M F Long Ii | Mickey Long Ii
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) Name of Business: LegalShield. Non-Investment related. Address: 7700 San Jacinto Place, Suite 200, Plano, TX 75024. Nature of Business: Will/Identity theft protection. Position/Title/Relationship: Agent. Hours per month: Negligible. Hours per month during Securities trading hours: Negligible. Duties/Responsibilities: Prepaid legal service for individuals, families, and businesses. For a low monthly late, you get comprehensive legal coverage from an entire law firm of professionals. Start Date: 2003. 2) Name of Business: Wealth Preservation Consultants Ltd. Investment related. Address: 7700 San Jacinto Place, Suite 200, Plano, TX 75024. Nature of Business: DBA for Tax Filing purposes. Position/Title/Relationship: Partner. Hours per month: 160-200. Hours per month during Securities trading hours: 100. Duties/Responsibilities: Provide financial planning services. Start Date: 1999. 3) Name of Business: M F Long. Non-Investment related. Address: 7700 San Jacinto Place, Suite 200, Plano, TX 75024. Nature of Business: Life insurance and fixed annuities. Position/Title/Relationship: Owner. Hours per month: only when service is required. Hours per month during Securities trading hours: Less than 10. Duties/Responsibilities: It is my responsibility to ask the appropriate questions to determine what the client is looking to accomplish. Based upon their input, I look for the company that can best meet the goals of the client. 4) Name of Business: First Financial Services Group. Investment related. Address: 7700 San Jacinto Place, Suite 200, Plano, TX 75024. Nature of Business: My DBA that all of my business transactions are completed under. Position/Title/Relationship: Owner. Hours per month: 10. Hours per month during Securities trading hours: 0. Duties/Responsibilities: The annuity business is bases upon the clients concerns; I will research the companies that provide the best end results for what the client is wanting. Start Date: 04/2015.
CRS (Client Relationship Summary) - RIA
Click below to view M F Long II's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view M F Long II'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
October 4, 2016 - Present
CALTON & ASSOCIATES, INC.
RIA
BD
CRD#: 20999
Denton, TX
Current
June 30, 2016 - Present
CALTON & ASSOCIATES, INC.
Office #1: 2701 N Rocky Point Drive Suite 1000, Tampa, FL 33607RIA
BD
CRD#: 20999
TAMPA, FL
Past
February 7, 2003 - July 1, 2016
VSR FINANCIAL SERVICES, INC.
RIA
CRD#: 14503
PLANO, TX
Past
June 7, 2002 - February 7, 2003
THE MASTERS, INC.
RIA
CRD#: 108432
PLANO, TX
Past
June 6, 2002 - July 1, 2016
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
PLANO, TX
Past
January 17, 2001 - June 18, 2002
RUSHMORE SECURITIES CORPORATION
BD
CRD#: 8392
DALLAS, TX
Past
June 18, 1998 - March 1, 2001
NORTHSTAR SECURITIES, INC.
BD
CRD#: 11247
DALLAS, TX
Past
March 28, 1991 - December 9, 1998
DOMINION CAPITAL CORPORATION
BD
CRD#: 18837
DALLAS, TX
Past
December 22, 1987 - March 20, 1990
INTERFIRST CAPITAL CORPORATION
BD
CRD#: 7659
LOS ANGELES, CA
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(7/15/2016)
RR
Florida(6/30/2016)
RR
Oklahoma(7/8/2016)
RR
Texas(10/4/2016)
IAR
Texas(10/4/2016)
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.
