Michael R. Brennan
CALTON & ASSOCIATES
Hazlet, NJ 07730
Some features on this profile are disabled
CRD#: 2699918
Professional summary
Michael Richard Brennan, CFP® is a registered financial advisor currently at CALTON & ASSOCIATES, INC. located in Hazlet, New Jersey.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Michael has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 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: Weichert Realtors. Non-Investment related. Address: 43 East Main Street, Holmdel, NJ 07733. Nature of Business: Residential and commercial real estate sales and rentals. Position/Title/Relationship: Agent. Hours per month: 20. Hours per month during Securities trading hours: 5%. Duties/Responsibilities: Obtain listings and close real estate sales/rentals individually or with partner. No. 2) Name of Business: Independent Insurance Agent - Various Companies. Non-Investment related. Address: 22 S Holmdel Road, Suite 7, Holmdel, NJ 07733. Nature of Business: Insurance. Position/Title/Relationship: Agent. Hours per month: 5. Hours per month during Securities trading hours: 80. Duties/Responsibilities: Insurance, representative - Sells fixed insurance products: Life, Health, Disability, and Long Term Care. No. 3) Name of Business: Michael Brennan, LLC. Investment related. Address: 22 S Holmdel Rd., Suite 7, Holmdel, NJ 07733. Nature of Business: Financial Services. Position/Title/Relationship: Owner. Hours per month: 160. Hours per month during Securities trading hours: 160. No. 4) Name of Business: MC Fullbright and Company, LLC. Non-Investment related. Address: 22 S Holmdel Rd., Suite 7, Holmdel, NJ 07733. Nature of Business: Collects rent for lease of office buildings, collects money for bills and pays to landlord, and utility companies; assist small business with setting up management and/or financial systems. Position/Title/Relationship: Management Consultant. Duties/Responsibilities: Collects rent for lease of office buildings, collects money for bills and pays to landlord, and utility companies; assist small business with setting up management and/or financial systems.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Richard Brennan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Richard Brennan'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®
CFP®
Start date: 2001
Experience
Current
August 31, 2012 - Present
CALTON & ASSOCIATES, INC.
Office #1: 1 Bethany Rd Suite 3, Hazlet, NJ 07730RIA
BD
CRD#: 20999
Hazlet, NJ
Current
August 31, 2012 - Present
CALTON & ASSOCIATES, INC.
Office #1: 1 Bethany Rd Suite 3, Hazlet, NJ 07730RIA
BD
CRD#: 20999
Hazlet, NJ
Past
August 8, 2022 - April 26, 2024
RMR WEALTH BUILDERS, INC.
RIA
CRD#: 169005
Holmdel, NJ
Past
June 27, 2002 - September 4, 2012
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
HOLMDEL, NJ
Past
February 14, 1996 - September 4, 2012
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
HOLMDEL, NJ
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(8/31/2012)
RR
Connecticut(8/31/2012)
RR
Delaware(9/14/2012)
RR
Florida(8/31/2012)
RR
Georgia(1/12/2021)
RR
Indiana(11/7/2019)
RR
Louisiana(11/7/2019)
RR
Maine(1/5/2017)
RR
Maryland(8/31/2012)
RR
Massachusetts(1/25/2019)
RR
Mississippi(11/7/2014)
RR
New Jersey(8/31/2012)
IAR
New Jersey(8/31/2012)
RR
New York(8/31/2012)
RR
North Carolina(8/31/2012)
RR
Pennsylvania(8/31/2012)
RR
Rhode Island(9/3/2014)
RR
South Carolina(10/8/2013)
RR
Vermont(3/19/2014)
RR
Virginia(6/7/2018)
RR
Wisconsin(4/4/2023)
Exams
State Security Law Exam
General Industry/Product 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 | SHAREHOLDER | 1569353 |
| CICCATI, RANDALL LEE | CEO / DIRECTOR | 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.
