DG
Don R. Guess
CALTON & ASSOCIATES
Cedar Park, TX
Some features on this profile are disabled
CRD#: 2128590
DG
Professional summary
Don Robert Guess, who also goes by Bob Guess, is a registered financial advisor currently at CALTON & ASSOCIATES, INC. located in Cedar Park, Texas.
Don is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Don has worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bob Guess
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: Metropolitan Breakfast Club. Non-Investment related. Address: PO Box 26054, Austin, TX 78755. Nature of Business: Networking club featuring a weekly speaker. Position/Title/Relationship: Director. Start Date: 08/01/2020. Hours per month: 6. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Member of the Board. The board shall be vested with the management of the business and affairs of the MBC subject to the Articles of Incorporation and bylaws. The board may adopt rules and regulations for the conduct of its business, and may delegate one or more of its responsibilities to a board member or to a standing committee of the MBC. The board may adopt rules for the orderly conduct and procedure of regular meetings of the MBC, annual meetings of the MBC, which rules shall not conflict with any provision of the bylaws.
CRS (Client Relationship Summary) - RIA
Click below to view Don Robert Guess's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Don Robert Guess'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
September 3, 2013 - Present
CALTON & ASSOCIATES, INC.
RIA
BD
CRD#: 20999
Cedar Park, TX
Current
September 3, 2013 - Present
CALTON & ASSOCIATES, INC.
Office #1: 1002 Marble Heights Drive Suite 101, Marble Falls, TX 78654RIA
BD
CRD#: 20999
Marble Falls, TX
Past
July 30, 2012 - September 5, 2013
WADDELL & REED
RIA
CRD#: 866
AUSTIN, TX
Past
July 20, 2012 - September 5, 2013
WADDELL & REED
BD
CRD#: 866
AUSTIN, TX
Past
January 5, 2007 - July 20, 2012
SWBC INVESTMENT COMPANY
RIA
CRD#: 140994
SAN ANTONIO, TX
Past
January 4, 2007 - June 26, 2012
SWBC INVESTMENT SERVICES, LLC
BD
CRD#: 133715
AUSTIN, TX
Past
February 24, 2005 - February 1, 2006
TD AMERITRADE, INC.
RIA
CRD#: 7870
SUGAR LAND, TX
Past
February 24, 2005 - February 1, 2006
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
Past
May 13, 2004 - February 10, 2005
CAPITAL ADVISORS, INC.
RIA
CRD#: 104643
OKLAHOMA CITY, OK
Past
May 6, 2004 - February 10, 2005
MINSHALL & COMPANY INC.
BD
CRD#: 20050
TULSA, OK
Past
October 11, 2000 - May 5, 2004
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
OKLAHOMA CITY, OK
Past
January 1, 1998 - May 5, 2004
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
November 4, 1997 - December 22, 1997
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
November 4, 1997 - December 22, 1997
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
September 1, 1993 - July 17, 1997
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
March 14, 1991 - August 17, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
March 14, 1991 - August 17, 1993
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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
Mississippi(3/30/2022)
RR
Nebraska(6/14/2016)
RR
Texas(9/3/2013)
IAR
Texas(9/3/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 8
Date: 4/3/1997
General Securities Sales Supervisor Examination (Options Module & General Module)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.
