JJ
John J. John
CALTON & ASSOCIATES
Fallston, MD 21047
Some features on this profile are disabled
CRD#: 1785564
JJ
Professional summary
John Jay John, AIF®, CFP®, who also goes by Jay John, is a registered financial advisor currently at CALTON & ASSOCIATES, INC. located in Fallston, Maryland.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. John has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jay John
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: Davis Life Brokerage. Non-Investment related. Address: 3737 Woodland Ave, Suite 600, West Des Moines, IA 50266. Nature of Business: Indexed Life Insurance. Position/Title/Relationship: Agent. Start Date: 07/2007. Hours per month: 1. Hours per month during Securities trading hours: 1. Duties/Responsibilities: Sell indexed life insurance.
No. 2) Name of Business: The National Benefit Corp. Non-Investment related. Address: 5022 Grand Ridge Dr., West Des Moines, IA 50265. Nature of Business: Annuities and Life, DI & LTC insurance. Position/Title/Relationship: Agent. Start Date: 10/2005. Hours per month: 2. Hours per month during Securities trading hours: 2. Duties/Responsibilities: Sell annuities and/or life, disability & long term care insurance.
No. 3) Name of Business: Faith Financial Planners of Maryland, Inc. Investment related. Address: 705 Old Fallston Rd., Suite 105, Fallston, MD 21047. . Nature of Business: DBA for all financial planning business. Position/Title/Relationship: Owner. Start Date: 03/08/2004. Hours per month: 160. Hours per month during Securities trading hours: 95. Duties/Responsibilities: Financial planning, managed accounts, mutual fund sales, life, disability sales.
No. 4) Name of Business: Financial Solutions Brokerage. Non-Investment related. Address: 1311 S. Main St., Suite 208, Mt. Airy, MD 21771. Nature of Business: Disability in sales. Position/Title/Relationship: Agent. Start Date: 10/2003. Hours per month: 1. Hours per month during Securities trading hours: 1. Duties/Responsibilities: Sell disability insurance.
CRS (Client Relationship Summary) - RIA
Click below to view John Jay John's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Jay John'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: 2007
Experience
Current
May 16, 2019 - Present
CALTON & ASSOCIATES, INC.
Office #1: 705 Old Fallston Road Suite 105, Fallston, MD 21047RIA
BD
CRD#: 20999
Fallston, MD
Current
May 13, 2019 - Present
CALTON & ASSOCIATES, INC.
Office #1: 705 Old Fallston Road Suite 105, Fallston, MD 21047RIA
BD
CRD#: 20999
Fallston, MD
Past
October 3, 2005 - July 31, 2019
CAPITAL FINANCIAL SERVICES, INC.
RIA
CRD#: 8408
FALLSTON, MD
Past
October 3, 2005 - July 31, 2019
CAPITAL FINANCIAL SERVICES, INC.
BD
CRD#: 8408
FALLSTON, MD
Past
January 26, 2004 - September 30, 2005
JESUP & LAMONT ADVISORS
RIA
CRD#: 108006
FOREST HILL, MD
Past
December 1, 2003 - September 30, 2005
EMPIRE FINANCIAL GROUP, INC.
BD
CRD#: 28759
LONGWOOD, FL
Past
January 22, 2003 - January 14, 2004
FREEDOM ASSET MANAGEMENT, INC.
RIA
CRD#: 109654
FOREST HILL, MD
Past
November 5, 2002 - November 26, 2003
FREEDOM FINANCIAL, INC.
BD
CRD#: 45850
OMAHA, NE
Past
January 4, 1988 - November 5, 2002
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
MINNEAPOLIS, MN
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
Alabama(7/31/2019)
RR
Delaware(9/13/2019)
RR
Florida(5/22/2019)
RR
Georgia(5/13/2019)
RR
Maryland(5/16/2019)
IAR
Maryland(5/16/2019)
RR
Minnesota(8/8/2019)
RR
Nebraska(7/31/2019)
RR
New York(5/16/2019)
RR
North Carolina(8/1/2019)
RR
Ohio(7/31/2019)
RR
Pennsylvania(8/1/2019)
RR
South Carolina(8/18/2022)
RR
Texas(5/17/2019)
RR
Virginia(7/31/2019)
RR
West Virginia(8/15/2019)
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.
Company Information
CALTON & ASSOCIATES, INC.
CRD#: 20999Fallston, MD 21047TRUST BUT VERIFY
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