AG
Amy Z. Galli
CALTON & ASSOCIATES
TAMPA, FL 33607
Some features on this profile are disabled
CRD#: 3249274
AG
Professional summary
Amy Zvonkovic Galli, who also goes by Amy Lynn Galli, Amy L Zvonkovic, Amy Lynn Zvonkovic, is a registered financial professional currently at CALTON & ASSOCIATES, INC. located in Tampa, Florida.
Amy is registered as a RR (Registered Representative) and started their career in finance in 2000. Amy has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Amy Lynn Galli | Amy L Zvonkovic | Amy Lynn Zvonkovic
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.
CRS (Client Relationship Summary) - BD
Click below to view Amy Zvonkovic Galli'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 19, 2022 - Present
CALTON & ASSOCIATES, INC.
Office #1: 2701 N Rocky Point Drive Suite 1000, Tampa, FL 33607RIA
BD
CRD#: 20999
TAMPA, FL
Past
October 28, 2011 - April 21, 2020
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
EL SEGUNDO, CA
Past
October 28, 2011 - April 21, 2020
CETERA ADVISORS LLC
BD
CRD#: 10299
EL SEGUNDO, CA
Past
October 28, 2011 - April 21, 2020
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
January 25, 2005 - September 27, 2011
LPL FINANCIAL LLC
BD
CRD#: 6413
SAN DIEGO, CA
Past
January 25, 2000 - October 13, 2003
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.
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(1/19/2022)
Exams
State Security Law 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)
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.
Company Information
CALTON & ASSOCIATES, INC.
CRD#: 20999Tampa, FL 33607TRUST BUT VERIFY
Monitor Amy Galli
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
