PL
Paul Lieu
CALTON & ASSOCIATES
Huntington Beach, CA 92649
Some features on this profile are disabled
CRD#: 2591168
PL
Professional summary
Paul Lieu is a registered financial advisor currently at CALTON & ASSOCIATES, INC. located in Huntington Beach, California.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Paul has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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: Paul Lieu Wealth Management Inc. Non-Investment related. Address: 15061 Springdale Street, #110, Huntington Beach, California 92649. Nature of Business: Created to separate potential liabilities from securities business and personal assets. Position/Title/Relationship: Owner. Start Date: 01/14/2014. Hours per month: 8. Hours per month during Securities trading hours: 8. Duties/Responsibilities: No products or services offered through this business.
No. 2) Name of Business: Mobile Home Agents. Non-Investment related. Address: 80 Huntington St, SPC #459, Huntington Beach, CA 92648. Nature of Business: Selling manufactured homes. Position/Title/Relationship: Agent. Start Date: 06/14/2017. Hours per month: 4. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Sell mobile homes to the public. Study property listings, interview prospective buyers and sellers, accompany prospects to property sites, discuss conditions of sale and draw up real estate contracts.
No. 3) Name of Business: RJP & Associates. Non-Investment related. Address: 19122 Callaway Circle, Huntington Beach, CA 92648. Nature of Business: Real Estate Agent. Position/Title/Relationship: Agent. Start Date: 02/06/2019. Hours per month: 1. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Advise sellers and buyers of real estate properties.
CRS (Client Relationship Summary) - RIA
Click below to view Paul Lieu's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Paul Lieu'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
January 14, 2014 - Present
CALTON & ASSOCIATES, INC.
Office #1: 15061 Springdale St Suite 107, Huntington Beach, CA 92649RIA
BD
CRD#: 20999
Huntington Beach, CA
Current
January 14, 2014 - Present
CALTON & ASSOCIATES, INC.
Office #1: 15061 Springdale St Suite 107, Huntington Beach, CA 92649RIA
BD
CRD#: 20999
Huntington Beach, CA
Past
October 1, 2012 - January 23, 2014
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
WESTMINSTER, CA
Past
October 1, 2012 - January 23, 2014
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
WESTMINSTER, CA
Past
July 2, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
WESTMINSTER, CA
Past
July 1, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
WESTMINSTER, CA
Past
May 29, 2007 - December 17, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
LAGUNA HILLS, CA
Past
May 29, 2007 - December 17, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
LAGUNA HILLS, CA
Past
June 9, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
LAGUNA HILLS, CA
Past
June 9, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LAGUNA HILLS, CA
Past
December 18, 2003 - June 5, 2006
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
BREA, CA
Past
December 18, 2003 - June 5, 2006
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
BREA, CA
Past
July 8, 2002 - December 19, 2003
IFMG SECURITIES, INC.
RIA
CRD#: 14416
ANAHEIM, CA
Past
June 15, 2001 - December 19, 2003
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
May 1, 2000 - June 15, 2001
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
January 2, 1998 - May 2, 2000
GUARANTY BROKERAGE SERVICES, INC.
BD
CRD#: 23302
ST. CLOUD, MN
Past
September 25, 1997 - December 31, 1997
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
LINCOLN, NE
Past
January 31, 1997 - September 17, 1997
CAL FED INVESTMENTS
BD
CRD#: 19631
SACRAMENTO, CA
Past
April 20, 1995 - January 31, 1997
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
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(1/14/2014)
IAR
California(1/14/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
