TF
Tracie L. Frank
CALTON & ASSOCIATES
Post Falls, ID
Some features on this profile are disabled
CRD#: 2245747
TF
Professional summary
Tracie Lyn Frank, who also goes by Tracie L Cawley, Tracie Lyn Cawley, Tracie Lyn Wagner, Tracie Wagner, is a registered financial professional currently at CALTON & ASSOCIATES, INC. located in Post Falls, Idaho.
Tracie is registered as a RR (Registered Representative) and started their career in finance in 1992. Tracie has worked at 10 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Tracie L Cawley | Tracie Lyn Cawley | Tracie Lyn Wagner | Tracie Wagner
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.
CRS (Client Relationship Summary) - BD
Click below to view Tracie Lyn Frank'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
July 1, 2019 - Present
CALTON & ASSOCIATES, INC.
RIA
BD
CRD#: 20999
Post Falls, ID
Past
March 7, 2007 - July 1, 2019
CAPITAL FINANCIAL SERVICES, INC.
BD
CRD#: 8408
Post Falls, ID
Past
May 1, 2006 - March 7, 2007
UNITED HERITAGE FINANCIAL SERVICES, INC.
BD
CRD#: 35316
COEUR D' ALENE, ID
Past
October 16, 2003 - May 24, 2006
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
COUER D ALENE, ID
Past
March 20, 2003 - October 14, 2003
BLUE VASE SECURITIES, LLC
BD
CRD#: 46765
WASHINGTON, PA
Past
January 10, 2000 - March 20, 2003
SCF SECURITIES, INC.
BD
CRD#: 47275
SAN DIEGO, CA
Past
March 12, 1997 - December 31, 1999
WALL STREET FINANCIAL GROUP, INC.
BD
CRD#: 35830
VICTOR, NY
Past
October 29, 1993 - February 28, 1997
CENTAURUS FINANCIAL, INC.
BD
CRD#: 30833
ANAHEIM, CA
Past
February 11, 1993 - November 11, 1993
MARINER FINANCIAL SERVICES, INC.
BD
CRD#: 8292
LARGO, FL
Past
December 21, 1992 - January 26, 1993
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
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
Arizona(7/1/2019)
RR
California(7/1/2019)
RR
Colorado(7/1/2019)
RR
Florida(7/1/2019)
RR
Georgia(7/1/2019)
RR
Idaho(7/1/2019)
RR
Kansas(9/13/2024)
RR
Maryland(7/1/2019)
RR
Michigan(7/1/2019)
RR
Minnesota(7/1/2019)
RR
Missouri(7/1/2019)
RR
Nevada(7/1/2019)
RR
New Jersey(7/1/2019)
RR
New Mexico(7/1/2019)
RR
North Carolina(7/1/2019)
RR
Oregon(7/1/2019)
RR
South Carolina(7/1/2019)
RR
Texas(7/1/2019)
RR
Virginia(7/1/2019)
RR
Washington(7/1/2019)
RR
Wisconsin(7/1/2019)
Exams
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 | 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.
