JP
James A. Petkoson
CALTON & ASSOCIATES
Clearwater, FL 33764
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CRD#: 2134056
JP
Professional summary
James Anthony Petkoson is a registered financial advisor currently at CALTON & ASSOCIATES, INC. located in Clearwater, Florida.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. James has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 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.
No. 1) Name of Business: Rental Property. Non-Investment related. Address: 1100 Live Oak Ct. Clearwater, FL 33756. Nature of Business: Residential Rental Property. Position/Title/Relationship: Owner. Start Date: 12/2015. Hours per month: Less than 1. Hours per month during Securities trading hours: Less than 1. Duties/Responsibilities: Renting out a previously owned property. No. 2) Name of Business: Financial World Investments Inc. Non-Investment related. Address: 300 S. Duncan Ave. Suite 287. Clearwater, FL 33755. Nature of Business: Subchapter S Corporation. Position/Title/Relationship: Officer. Start Date: 01/01/2001. Hours per month: 0. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Corporation formed solely to process office and personal income from Calton. No. 3) Name of Business: TJ Clearwater Corporation. Non-Investment related. Address: 300 Leeward Is, Clearwater Fl 33767 United States. Nature of Business: File & Pay corp account, Monthly Florida Sales Tax. Position/Title/Relationship: Officer. Start Date: 01/01/1988. Hours per month: 0. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Officer of a commercial rental property on Clearwater Beach.
CRS (Client Relationship Summary) - RIA
Click below to view James Anthony Petkoson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Anthony Petkoson'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
March 31, 2010 - Present
CALTON & ASSOCIATES, INC.
Office #1: 2240 Belleair Rd Suite 180b, Clearwater, FL 33764RIA
BD
CRD#: 20999
Clearwater, FL
Current
March 31, 2010 - Present
CALTON & ASSOCIATES, INC.
Office #1: 2240 Belleair Rd Suite 180b, Clearwater, FL 33764RIA
BD
CRD#: 20999
Clearwater, FL
Past
January 6, 2003 - March 30, 2010
GUNNALLEN FINANCIAL, INC
RIA
CRD#: 17609
CLEARWATER, FL
Past
January 2, 2003 - March 30, 2010
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
CLEARWATER, FL
Past
January 2, 2001 - January 27, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
SAFETY HARBOR, FL
Past
January 2, 2001 - January 27, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
January 4, 1999 - January 2, 2001
JWGENESIS FINANCIAL GROUP, INC
BD
CRD#: 38166
BOCA RATON, FL
Past
April 9, 1991 - January 4, 1999
CHATFIELD DEAN & CO., INC.
BD
CRD#: 14714
GREENWOOD VILLAGE, CO
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(3/31/2010)
RR
Arizona(3/31/2010)
RR
California(3/31/2010)
RR
Colorado(3/31/2010)
RR
Florida(4/7/2010)
IAR
Florida(4/7/2010)
RR
Georgia(3/31/2010)
RR
Illinois(3/31/2010)
RR
Louisiana(3/31/2010)
RR
Maryland(3/31/2010)
RR
Mississippi(1/2/2024)
RR
New York(3/31/2010)
RR
North Carolina(5/18/2016)
RR
Ohio(2/2/2016)
RR
Pennsylvania(3/31/2010)
RR
South Carolina(5/17/2016)
RR
Texas(3/31/2010)
IAR
Texas(9/18/2015)
RR
Vermont(3/31/2010)
RR
Virginia(3/31/2010)
RR
Washington(3/31/2010)
Exams
State Security Law Exam
State Security Law 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 | SHAREHOLDER | 1569353 |
| CICCATI, RANDALL LEE | CEO / DIRECTOR | 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#: 20999Clearwater, FL 33764TRUST BUT VERIFY
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