Charles Francis Kleinbrook
Professional Summary
Charles Francis Kleinbrook, who also goes by Chip Kleinbrook, is a registered financial advisor currently at CALTON & ASSOCIATES, INC. located in Highland, Michigan. Charles is registered as a RR (Registered Representative) and started their career in finance in 1997. Charles has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 53 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Chip Kleinbrook
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
CALTON | IEP FINANCIAL | CALTON & ASSOCIATES, INC.
Contact Information
Main Address
2701 N Rocky Point Drive Suite 1000, Tampa, FL 33607Mailing Address
2701 N Rocky Point Drive Suite 1000, Tampa, FL 33607Phone Number
(813) 264-0440Established
Florida since 09/17/1987Firm Type
CorporationFiscal Year End
SeptemberFirm Size
Medium# of Employees
373SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
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 | CHIEF FINANCIAL OFFICER/FINOP | 501638 |
| 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 |
| RAHMOUNI IDRISSI, SAAD | CHIEF COMPLIANCE OFFICER | 4071743 |
Regulatory Assets Under Management
Total Number of Accounts
6,969AUM (Assets Under Management)
$1,576,517,756Disclosures
Regulatory Event
14Arbitration
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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.
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Primary Firm SEC Registration
CALTON | IEP FINANCIAL | CALTON & ASSOCIATES, INC.
State Registrations and Notice Filings
(6/30/2023)
(6/30/2023)
(6/30/2023)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Charles Francis Kleinbrook's CRS (Customer Relationship Summary).
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