AS
Anthony C. Smith
CALTON & ASSOCIATES
Ocala, FL 34476
Some features on this profile are disabled
CRD#: 2471757
AS
Professional summary
Anthony Charles Smith, who also goes by Anthony Smith, Tony Smith, is a registered financial advisor currently at CALTON & ASSOCIATES, INC. located in Ocala, Florida.
Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Anthony has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Anthony Smith | Tony Smith
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: Windward Wealth Management, LLC. Investment related. Address: 6116 SW Highway 200, Ocala, FL 34476. Nature of Business: DBA for financial services. Position/Title/Relationship: Owner. Start Date: 06/2010. Hours per month: 165. Hours per month during Securities trading hours: 140. Duties/Responsibilities: Investment advice. Supervision and maintenance of client accounts.
No. 2) Name of Business: Windward Insurance & Tax Services, LLC. Non-Investment related. Address: 6114 SW Highway 200, Ocala, FL 34476. Nature of Business: DBA for accident life, health, annuities, home & auto insurance, tax preparation. Position/Title/Relationship: Partner. Start Date: 05/02/2011. Hours per month: 8.6. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Accident, life, health, fixed rate annuities, home & auto insurance, and tax preparation are offered. Property and casualty insurance is most of the business.
CRS (Client Relationship Summary) - RIA
Click below to view Anthony Charles Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Anthony Charles Smith'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
February 20, 2015 - Present
CALTON & ASSOCIATES, INC.
Office #1: 6116 Sw Hwy 200, Ocala, FL 34476RIA
BD
CRD#: 20999
Ocala, FL
Current
February 17, 2015 - Present
CALTON & ASSOCIATES, INC.
Office #1: 6116 Sw Hwy 200, Ocala, FL 34476RIA
BD
CRD#: 20999
Ocala, FL
Past
October 13, 2010 - February 17, 2015
NEWPORT COAST SECURITIES, INC.
RIA
CRD#: 16944
OCALA, FL
Past
July 8, 2008 - February 17, 2015
NEWPORT COAST SECURITIES, INC.
BD
CRD#: 16944
OCALA, FL
Past
March 31, 2003 - July 3, 2008
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BD
CRD#: 13609
OCALA, FL
Past
April 18, 2000 - March 31, 2003
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
BD
CRD#: 2864
BRYAN, OH
Past
August 31, 1999 - April 18, 2000
PRIME CAPITAL SERVICES, INC.
BD
CRD#: 18334
POUGHKEEPSIE, NY
Past
February 27, 1998 - September 1, 1999
BROOKSTREET SECURITIES CORPORATION
BD
CRD#: 14667
SAN JUAN CAPISTRANO, CA
Past
January 7, 1998 - March 9, 1998
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
BD
CRD#: 2864
BRYAN, OH
Past
July 9, 1997 - February 9, 1998
CRISPIN KOEHLER SECURITIES
BD
CRD#: 10596
TAMPA, FL
Past
January 14, 1997 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
January 14, 1997 - July 15, 1997
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
July 11, 1995 - December 4, 1996
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
July 5, 1994 - July 3, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, 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.
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
California(4/6/2018)
RR
Connecticut(4/11/2016)
RR
Florida(2/20/2015)
IAR
Florida(2/20/2015)
RR
Georgia(2/17/2015)
RR
Hawaii(5/28/2015)
RR
Indiana(1/31/2018)
RR
Montana(2/17/2015)
RR
New York(2/17/2015)
RR
North Carolina(12/1/2017)
RR
Oklahoma(2/17/2015)
RR
Virginia(2/17/2015)
RR
Washington(2/17/2015)
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
