Timothy J. Flott

CALTON & ASSOCIATES

Omaha, NE 68116

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CRD#: 3251137

Professional summary

Timothy Joseph Flott is a registered financial professional currently at CALTON & ASSOCIATES, INC. located in Omaha, Nebraska.

Timothy is registered as a RR (Registered Representative) and started their career in finance in 2001. Timothy has worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Timothy Joseph Flott'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®

None

Experience

Current

April 16, 2026 - Present

CALTON & ASSOCIATES, INC.

Office #1: 3610 N 163rd Plz Ste 211, Omaha, NE 68116

RIA

CRD#: 20999

Omaha, NE

Past

January 18, 2019 - April 27, 2026

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Omaha, NE

Past

January 17, 2013 - January 25, 2019

PRINCIPAL SECURITIES, INC.

CRD#: 1137

OMAHA, NE

Past

May 16, 2001 - January 25, 2013

NEW ENGLAND SECURITIES

CRD#: 615

OMAHA, NE

Past

January 16, 2001 - May 9, 2001

FORESTERS EQUITY SERVICES, INC.

CRD#: 18464

SAN DIEGO, CA

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".

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)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Arizona
(4/16/2026)

Florida
(4/16/2026)

Illinois
(4/16/2026)

Minnesota
(4/16/2026)

Missouri
(4/16/2026)

Nebraska
(4/16/2026)

Ohio
(4/16/2026)

Pennsylvania
(4/16/2026)

South Carolina
(4/16/2026)

Tennessee
(4/16/2026)

Texas
(4/16/2026)

Virginia
(4/16/2026)

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

State Security Law Exam

Series 63

Date: 1/29/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/13/2001

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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

373

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A DISCLOSURE BROCHURE (12/26/2025)

FORM ADV PART 2A APPENDIX 1 WRAP FEE PROGRAM DISCLOSURE BROCHURE (12/26/2025)

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

Regulatory assets under management

Total Number of Accounts	6,969
AUM (Assets Under Management)	$ 1,576,517,756

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.

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Timothy J. Flott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Timothy Joseph Flott's CRS (Customer Relationship Summary).

Certified licenses

Experience

CALTON & ASSOCIATES, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

PRINCIPAL SECURITIES, INC.

NEW ENGLAND SECURITIES

FORESTERS EQUITY SERVICES, INC.

Primary Firm SEC Registration

CALTON & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/29/2001

SIE

Date: 10/1/2018

Series 6

Date: 1/13/2001

FINRA

Current Firm

CALTON & ASSOCIATES, INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CALTON & ASSOCIATES, INC.

TRUST BUT VERIFY

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