TO
Teresa M. Oclair
CALTON & ASSOCIATES
Bismarck, ND 58504
Some features on this profile are disabled
CRD#: 2722808
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Professional summary
Teresa Marie Oclair, who also goes by Teresa M Oclair, Terri Oclair, is a registered financial advisor currently at CALTON & ASSOCIATES, INC. located in Bismarck, North Dakota.
Teresa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Teresa has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Teresa M Oclair | Terri Oclair
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: North American Company, The Standard. Investment related. Address: 1100 SW Sixth Avenue, Portland, OR 97204. Nature of Business: Fixed Annuity Business. Position/Title/Relationship: Agent. Start Date: 04/2019. Hours per month: N/A. Hours per month during Securities trading hours: N/A. Duties/Responsibilities: Fixed Annuity Business.
No. 2) Name of Business: Calton & Associates, Inc. Non-Investment related. Address: 418 E Rosser Ave., #350, Bismarck, ND 58501. Nature of Business: Life insurance offered through various life insurance companies. Position/Title/Relationship: Agent. Start Date: 09/2008. Hours per month: 3-5. Hours per month during Securities trading hours: N/A. Duties/Responsibilities: Life insurance agent.
No. 3) Name of Business: InSource, Inc. Non-Investment related. Address: 8500 Keystone Crossing, Suite 300, Indianapolis, IN 46240. Nature of Business: Life Insurance Products. Life Insurance Products with LTC Riders as well as Fixed Annuities & Fixed Indexed Annuities. Position/Title/Relationship: Agent. Start Date: 2013. Hours per month: 15. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Insurance agent for clients seeking Life insurance Products and or Fixed Annuities.
CRS (Client Relationship Summary) - RIA
Click below to view Teresa Marie Oclair's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Teresa Marie Oclair'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
May 17, 2019 - Present
CALTON & ASSOCIATES, INC.
Office #1: 603 Kirkwood Mall, Bismarck, ND 58504RIA
BD
CRD#: 20999
Bismarck, ND
Current
May 17, 2019 - Present
CALTON & ASSOCIATES, INC.
Office #1: 603 Kirkwood Mall, Bismarck, ND 58504RIA
BD
CRD#: 20999
Bismarck, ND
Past
March 11, 2017 - May 17, 2019
CAPITAL FINANCIAL SERVICES, INC.
RIA
CRD#: 8408
BISMARCK, ND
Past
August 30, 2005 - December 31, 2010
CAPITAL FINANCIAL SERVICES, INC.
RIA
CRD#: 8408
BISMARCK, ND
Past
July 28, 2004 - May 17, 2019
CAPITAL FINANCIAL SERVICES, INC.
BD
CRD#: 8408
BISMARCK, ND
Past
May 15, 2002 - August 2, 2004
STONEX SECURITIES INC.
BD
CRD#: 18456
BIRMINGHAM, AL
Past
July 20, 1998 - May 15, 2002
AMERICAN INVESTMENT SERVICES, INC.
BD
CRD#: 21111
OKLAHOMA CITY, OK
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
Arizona(5/17/2019)
RR
Idaho(5/17/2019)
RR
Minnesota(7/11/2019)
RR
North Dakota(6/5/2019)
IAR
North Dakota(6/5/2019)
IAR
Texas(5/17/2019)
RR
Texas(6/3/2019)
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 | 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.
