Keith A. Golden

MUTUAL TRUST ASSET MGMT.

West Palm Beach, FL 33401

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CRD#: 2111702

Professional summary

Keith Alan Golden is a registered financial advisor currently at MUTUAL TRUST ASSET MGMT., INC. located in West Palm Beach, Florida and CALTON & ASSOCIATES, INC. located in West Palm Beach, Florida.

Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Keith has worked at 14 firms and has passed the Series 66, Series 65, Series 63, 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) SELF AGENT; SINCE 09/01/2011; SAME AS BRANCH ADDRESS; AGENT; SELL INSURANCE; 5 HOURS SPENT ON ACTIVITY PER MONTH, 0 DURING TRADING HOURS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Alan Golden'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

December 6, 2024 - Present

MUTUAL TRUST ASSET MGMT., INC.

Office #1: 500 Australian Ave Suite 536, West Palm Beach, FL 33401

RIA

CRD#: 121364

West Palm Beach, FL

Current

October 1, 2024 - Present

CALTON & ASSOCIATES, INC.

Office #1: 500 S Australian Ave Suite 536, West Palm Beach, FL 33401

RIA

CRD#: 20999

West Palm Beach, FL

Past

January 5, 2023 - October 28, 2024

MUTUAL TRUST ASSET MGMT., INC.

RIA

CRD#: 121364

Boynton Beach, FL

Past

January 28, 2019 - October 28, 2024

MUTUAL TRUST COMPANY OF AMERICA SECURITIES

CRD#: 8494

ST. PETERSBURG, FL

Past

July 17, 2009 - December 31, 2018

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

BOYNTON BEACH, FL

Past

April 23, 2009 - December 31, 2018

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

BOYNTON BEACH, FL

Past

September 25, 2006 - April 30, 2009

OSAIC SERVICES, INC.

RIA

CRD#: 133763

BOYNTON BEACH, FL

Past

October 31, 2005 - April 30, 2009

OSAIC SERVICES, INC.

CRD#: 133763

BOYNTON BEACH, FL

Past

May 10, 2004 - October 31, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

October 31, 1997 - May 18, 2004

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

BOYNTON BEACH, FL

Past

October 31, 1997 - May 18, 2004

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

July 29, 1996 - November 3, 1997

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

CRD#: 14229

NORTHRIDGE, CA

Past

April 17, 1995 - July 19, 1996

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

November 29, 1994 - April 17, 1995

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

June 20, 1994 - August 11, 1994

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

Past

May 12, 1992 - January 19, 1993

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

May 12, 1992 - January 19, 1993

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

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".

MUTUAL TRUST ASSET MGMT., INC.

CRD#: 121364 / SEC#: 801-111062

RIA

Registered Investment Advisory firm - (8/29/2017 Approved)

Arizona

Registered Investment Advisory firm - (12/31/2017 Terminated)

Colorado

Registered Investment Advisory firm - (9/24/2013 Terminated)

Florida

Registered Investment Advisory firm - (12/18/2017 Terminated)

Indiana

Registered Investment Advisory firm - (11/15/2011 Terminated)

Minnesota

Registered Investment Advisory firm - (12/20/2017 Terminated)

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

Florida
(10/17/2024)

IAR

Florida
(12/6/2024)

Georgia
(10/31/2024)

Illinois
(7/14/2025)

Indiana
(10/1/2024)

New York
(10/1/2024)

North Carolina
(10/1/2024)

Pennsylvania
(10/1/2024)

Texas
(10/1/2024)

Wisconsin
(10/1/2024)

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 66

Date: 10/27/2022

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/27/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/19/1994

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: 6/16/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/11/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/25/2004

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MUTUAL TRUST ASSET MGMT., INC.

CRD#: 121364 / SEC#: 801-111062

RIA

Registered Investment Advisory firm - (8/29/2017 Approved)

Arizona

Registered Investment Advisory firm - (12/31/2017 Terminated)

Colorado

Registered Investment Advisory firm - (9/24/2013 Terminated)

Florida

Registered Investment Advisory firm - (12/18/2017 Terminated)

Indiana

Registered Investment Advisory firm - (11/15/2011 Terminated)

Minnesota

Registered Investment Advisory firm - (12/20/2017 Terminated)

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Contact information

Main Address

2701 N. Rocky Point Drive Suite 1000, Tampa, FL 33607

Mailing Address

Phone number

(813) 264-0440

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MUTUAL TRUST ASSET MANAGEMENT ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	92
AUM (Assets Under Management)	$ 57,396,568

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.

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Advisor Monitoring

Firm Stability Insights

Keith A. Golden

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Alan Golden's CRS (Customer Relationship Summary).

Certified licenses

Experience

CALTON & ASSOCIATES, INC.

MUTUAL TRUST ASSET MGMT., INC.

MUTUAL TRUST COMPANY OF AMERICA SECURITIES

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

SUNAMERICA SECURITIES, INC.

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

UBS FINANCIAL SERVICES INC.

J.P. MORGAN SECURITIES LLC

CHATFIELD DEAN & CO., INC.

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

MUTUAL TRUST ASSET MGMT., INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/27/2022

Series 65

Date: 10/27/2004

Series 63

Date: 5/19/1994

SIE

Date: 10/1/2018

Series 7

Date: 6/16/1994

Series 6

Date: 5/11/1992

Series 24

Date: 6/25/2004

FINRA

Current Firm

MUTUAL TRUST ASSET MGMT., INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MUTUAL TRUST ASSET MGMT., INC.

TRUST BUT VERIFY

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