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For Advisors
ST

Susan S. Theder

CALTON & ASSOCIATES
TAMPA, FL 33607
Some features on this profile are disabled
CRD#: 2161097
ST

Professional summary

Susan Susskind Theder, who also goes by Susan Susskind Arena, Susan Nelson Susskind, is a registered financial professional currently at CALTON & ASSOCIATES, INC. located in Tampa, Florida.

Susan is registered as a RR (Registered Representative) and started their career in finance in 1991. Susan has worked at 24 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Susan Susskind Arena | Susan Nelson Susskind

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Susan Susskind Theder'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

January 19, 2022 - Present

CALTON & ASSOCIATES, INC.

Office #1: 2701 N Rocky Point Drive Suite 1000, Tampa, FL 33607
RIA
BD
CRD#: 20999
TAMPA, FL
Past

April 21, 2020 - September 16, 2020

INVESTACORP, INC.

BD
CRD#: 7684
MIAMI, FL
Past

April 21, 2020 - November 6, 2020

KMS FINANCIAL SERVICES, INC.

BD
CRD#: 3866
SEATTLE, WA
Past

April 21, 2020 - November 23, 2020

SECURITIES SERVICE NETWORK, LLC

BD
CRD#: 13318
KNOXVILLE, TN
Past

April 21, 2020 - September 9, 2021

TRIAD ADVISORS LLC

BD
CRD#: 25803
ATLANTA, GA
Past

April 21, 2020 - September 9, 2021

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE
Past

April 21, 2020 - September 9, 2021

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

October 28, 2016 - September 9, 2021

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN
Past

October 28, 2016 - September 9, 2021

OSAIC SERVICES, INC.

BD
CRD#: 133763
SCOTTSDALE, AZ
Past

October 28, 2016 - September 9, 2021

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

October 28, 2016 - September 9, 2021

FSC SECURITIES CORPORATION

BD
CRD#: 7461
ATLANTA, GA
Past

March 6, 2015 - December 23, 2015

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
El Segundo, CA
Past

March 6, 2015 - March 3, 2016

SUMMIT BROKERAGE SERVICES, INC.

BD
CRD#: 34643
EL SEGUNDO, CA
Past

March 6, 2015 - March 3, 2016

LEGEND EQUITIES CORPORATION

BD
CRD#: 30999
El Segundo, CA
Past

March 6, 2015 - March 3, 2016

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
EL SEGUNDO, CA
Past

January 16, 2015 - March 3, 2016

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
El Segundo, CA
Past

August 17, 2012 - March 3, 2016

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
EL SEGUNDO, CA
Past

September 22, 2010 - March 3, 2016

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
EL SEGUNDO, CA
Past

September 22, 2010 - March 3, 2016

CETERA ADVISORS LLC

BD
CRD#: 10299
EL SEGUNDO, CA
Past

August 9, 2010 - March 3, 2016

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

October 7, 2005 - June 24, 2010

PERSHING LLC

BD
CRD#: 7560
QUINCY, MA
Past

October 12, 2000 - October 21, 2005

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI
Past

October 18, 1995 - January 25, 2000

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI
Past

March 24, 1993 - September 20, 1995

BAYBANKS BROKERAGE SERVICES, INC.

BD
CRD#: 17536
Past

August 30, 1991 - January 18, 1993

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

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.

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
(1/19/2022)
RR
Massachusetts
(1/9/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 9/5/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/29/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/4/2003
General Securities Principal Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A DISCLOSURE BROCHURE (12/19/2024)
FORM ADV PART 2A APPENDIX 1 WRAP FEE PROGRAM DISCLOSURE BROCHURE (12/19/2024)

Direct owners and executive officers

NamePositionCRD#
CICCATI, RANDALL LEESHAREHOLDER1569353
CICCATI, RANDALL LEECEO / DIRECTOR1569353
SINGH, RAMESHWARDIRECTOR / SECRETARY /PRESIDENT OF ADVISORY SERVICES4660047
SINGH, RAMESHWARSHAREHOLDER4660047
CICCATI, JILL MARIESHAREHOLDER
THE LOUIS CICCATI AND ADELINE CARMELA CICCATI REVOCABLE TRUSTSHAREHOLDER, LOUIS CICCATI AND ADELINE CARMELA CICCATI, TTEE
CALTON, DEREK JAYVICE PRESIDENT - DIRECTOR1192608
CALTON, DWAYNE KENTPRESIDENT - DIRECTOR
CICCATI, ADELINE CARMELATRUSTEE OF THE LOUIS CICCATI AND ADELINE CARMELA CICCATI REVOCABLE TRUST
CICCATI, AUSTIN LOUISSHAREHOLDER6351650
CICCATI, CARLY MARIESHAREHOLDER6351667
COLE, DAVID SCOTTCHIEF FINANCIAL OFFICER/FINOP4181156
RAHMOUNI IDRISSI, SAADCHIEF COMPLIANCE OFFICER4071743
RICHARDSON, PAUL REIDCHIEF OPERATIONS OFFICER1006146

Regulatory assets under management

Total Number of Accounts7,559
AUM (Assets Under Management)$ 1,216,021,701

Disclosures

Regulatory Event13
Arbitration6

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#: 20999Tampa, FL 33607

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