Nicolas S. Toadvine
CALTON & ASSOCIATES
Lakeland, FL 33813
Some features on this profile are disabled
CRD#: 3260858
Professional summary
Nicolas Shane Toadvine, CFP®, who also goes by Nick Toadvine, is a registered financial advisor currently at CALTON & ASSOCIATES, INC. located in Lakeland, Florida.
Nicolas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Nicolas has worked at 8 firms and has passed the Series 66, SIE, Series 7, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nick Toadvine
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: Guardian Wealth Management. DBA for Fixed Insurance and Annuity Sales. Investment Related. Address: 464 West Pipkin Road, Lakeland, FL 33813. Nature of Business: Fixed Insurance. Position/Title/Relationship: Insurance Agent. Start Date: 2013. Hours per month: 20-40. Hours per month during Securities trading hours: 160. Duties/Responsibilities: Fixed Insurance sales. Life, Health, and Fixed Annuity sales. No. 2) Name of Business: Guardian Wealth Management, LLC. DBA Guardian Wealth Management. Investment Related. Address: 464 West Pipkin Road, Lakeland, FL 33813. Nature of Business: Guardian Wealth Management. Position/Title/Relationship: Owner. Start Date: 2013. Hours per month: 160. Hours per month during Securities trading hours: 160. Duties/Responsibilities: Use DBA to market to prospect and work with clients. No. 3) Name of Business: Amerity Financial. Investment Related. Address: 4740 Cleveland Heights Suite 5 Lakeland, FL 33813. Nature of Business: Fixed Insurance Sales. Position/Title/Relationship: Agent. Start Date: 2014. Hours per month: 20. Hours per month during Securities trading hours: 20. Duties/Responsibilities: Sale of fixed life, and health insurance and fixed annuities. No. 4) Name of Business: Guardian Wealth Management. DBA for Tax preparation and bookkeeping. Non-Investment Related. Address: 464 West Pipkin Road, Lakeland, FL 33813. Nature of Business: Bookkeeping and tax preparation. Position/Title/Relationship: Owner. Start Date: 2016. Hours per month: 10. Hours per month during Securities trading hours: 5. Duties/Responsibilities: Tax preparation and Bookkeeping. No. 5) Name of Business: Retirement Planning Today. Investment Related. Address: 464 West Pipkin Road, Lakeland, FL 33813. Nature of Business: Course for Pre Retirees to learn about various aspects of personal financial planning. Position/Title/Relationship: Teacher. Start Date: 2015. Hours per month: 1. Hours per month during Securities trading hours: 1. Duties/Responsibilities: Teach a curriculum to pre retirees who are interested in learning more about financial planning. No. 6) Name of Business: Florida Southern College. Non-Investment related. Address: 111 Lake Hollingsworth Dr., Lakeland, FL 33801. Nature of Business: College. Position/Title/Relationship: Adjunct Professor. Start Date: 08/20/2019. Hours per month: 8. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Teach Personal Finance class to undergraduate students. No. 7) Name of Business: YMCA of West Central Florida. Non-Investment related. Address: 3620 Cleveland Hts Blvd., Lakeland, FL 33803. Nature of Business: Non-Profit YMCA. Position/Title/Relationship: Director. Start Date: 10/28/2019. Hours per month: 1. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Board of Directors overseeing the mission to the Y. No. 8) Name of Business: My Secure Advantage. Non-Investment related. Address: 3001 Lava Ridge Court, Suite 250, Roseville, CA 95661. Nature of Business: This company contracts with employers to provide benefits through their employee assistance program, (EAP). They offer various programs. Position/Title/Relationship: Paid Speaker. Start Date: 11/12/2019. Hours per month: 1. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Discuss the importance of good financial habits at lunch and learn type meetings at employer's location. No investments ever discussed. Cannot hand out business cards. Introduce myself as a CFP and talk about the subject matter at hand. No. 9) Universal Exports. Non-investment related. 3913 Cheverly Dr E, Lakeland, FL 33813. Buying and selling collectibles. Owner/Sole proprietor. Start date 10/1/2024. Hours/month: 5. Hours/month during securities trading hours: 0.
CRS (Client Relationship Summary) - RIA
Click below to view Nicolas Shane Toadvine's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nicolas Shane Toadvine'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: 2008
Experience
Current
June 9, 2016 - Present
CALTON & ASSOCIATES, INC.
Office #1: 464 West Pipkin Road, Lakeland, FL 33813RIA
BD
CRD#: 20999
Lakeland, FL
Current
May 26, 2016 - Present
CALTON & ASSOCIATES, INC.
Office #1: 464 West Pipkin Road, Lakeland, FL 33813RIA
BD
CRD#: 20999
Lakeland, FL
Past
October 2, 2013 - May 2, 2016
CALTON & ASSOCIATES, INC.
RIA
CRD#: 20999
LAKELAND, FL
Past
September 27, 2013 - May 2, 2016
CALTON & ASSOCIATES, INC.
BD
CRD#: 20999
LAKELAND, FL
Past
December 20, 2012 - October 7, 2013
CABOT LODGE SECURITIES LLC
BD
CRD#: 159712
TAMPA, FL
Past
July 17, 2012 - September 26, 2013
WALL ADVISORS, INC.
RIA
CRD#: 125272
LAKELAND, FL
Past
January 10, 2012 - June 20, 2012
BROOKSTONE SECURITIES, INC.
RIA
CRD#: 13366
LAKELAND, FL
Past
January 6, 2012 - June 20, 2012
BROOKSTONE SECURITIES, INC.
BD
CRD#: 13366
LAKELAND, FL
Past
June 28, 2006 - December 31, 2010
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
LAKELAND, FL
Past
September 22, 2004 - February 2, 2012
INGRAM ADVISORY SERVICES, LLC
RIA
CRD#: 123508
WINTER HAVEN, FL
Past
June 26, 2002 - February 1, 2012
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
LAKELAND, FL
Past
May 10, 2001 - June 27, 2002
ALLEN & COMPANY OF FLORIDA, LLC
BD
CRD#: 25
LAKELAND, FL
Past
July 19, 2000 - May 9, 2001
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
ANN ARBOR, MI
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
Florida(6/9/2016)
IAR
Florida(6/9/2016)
RR
Maryland(4/15/2021)
RR
South Carolina(4/15/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
Company Information
CALTON & ASSOCIATES, INC.
CRD#: 20999Lakeland, FL 33813TRUST BUT VERIFY
Monitor Nicolas Toadvine
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
