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JM

John E. Morette

CALTON & ASSOCIATES
Satellite Beach, FL 32937
Some features on this profile are disabled
CRD#: 339775
JM

Professional summary

John Edmund Morette, who also goes by John E Morette, is a registered financial professional currently at CALTON & ASSOCIATES, INC. located in Satellite Beach, Florida.

John is registered as a RR (Registered Representative) and started their career in finance in 1970. John has worked at 7 firms and has passed the Series 63, Series 7TO, SIE, Series 1, Series 51 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John E Morette

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 John Edmund Morette's CRS (Customer Relationship Summary).
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

January 2, 2014 - Present

CALTON & ASSOCIATES, INC.

Office #1: 1290 Highway A1a Suite 100, Satellite Beach, FL 32937
RIA
BD
CRD#: 20999
Satellite Beach, FL
Past

May 22, 2013 - December 31, 2013

HIGH STREET SECURITIES, INC.

BD
CRD#: 104201
ROCKLEDGE, FL
Past

December 1, 2006 - May 25, 2012

QUESTAR CAPITAL CORPORATION

BD
CRD#: 43100
ROCKLEDGE, FL
Past

November 24, 2003 - December 1, 2006

USALLIANZ SECURITIES, INC.

BD
CRD#: 40875
MELBOURNE, FL
Past

September 30, 1996 - November 21, 2003

LEGACY FINANCIAL SERVICES, INC.

BD
CRD#: 38697
PETALUMA, CA
Past

March 22, 1995 - November 12, 1996

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 5181
BOSTON, MA
Past

March 22, 1995 - November 12, 1996

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA
Past

June 3, 1971 - February 24, 1995

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 5181
BOSTON, MA
Past

May 18, 1970 - February 24, 1995

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA

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
Connecticut
(1/2/2014)
RR
Florida
(1/2/2014)
RR
Michigan
(5/20/2025)
RR
New York
(1/2/2014)
RR
North Carolina
(1/2/2014)
RR
South Carolina
(1/30/2020)
RR
Virginia
(5/20/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 9/22/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 5/8/1970
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 9/4/2007
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/2/1997
General Securities Principal Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A DISCLOSURE BROCHURE (12/19/2024)
FORM ADV PART 2A APPENDIX 1 WRAP FEE PROGRAM DISCLOSURE BROCHURE (12/19/2024)

Direct owners and executive officers

NamePositionCRD#
CICCATI, RANDALL LEESHAREHOLDER1569353
CICCATI, RANDALL LEECEO / DIRECTOR1569353
SINGH, RAMESHWARDIRECTOR / SECRETARY /PRESIDENT OF ADVISORY SERVICES4660047
SINGH, RAMESHWARSHAREHOLDER4660047
CICCATI, JILL MARIESHAREHOLDER
THE LOUIS CICCATI AND ADELINE CARMELA CICCATI REVOCABLE TRUSTSHAREHOLDER, LOUIS CICCATI AND ADELINE CARMELA CICCATI, TTEE
CALTON, DEREK JAYVICE PRESIDENT - DIRECTOR1192608
CALTON, DWAYNE KENTPRESIDENT - DIRECTOR
CICCATI, ADELINE CARMELATRUSTEE OF THE LOUIS CICCATI AND ADELINE CARMELA CICCATI REVOCABLE TRUST
CICCATI, AUSTIN LOUISSHAREHOLDER6351650
CICCATI, CARLY MARIESHAREHOLDER6351667
COLE, DAVID SCOTTCHIEF FINANCIAL OFFICER/FINOP4181156
RAHMOUNI IDRISSI, SAADCHIEF COMPLIANCE OFFICER4071743
RICHARDSON, PAUL REIDCHIEF OPERATIONS OFFICER1006146

Regulatory assets under management

Total Number of Accounts7,559
AUM (Assets Under Management)$ 1,216,021,701

Disclosures

Regulatory Event13
Arbitration6

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#: 20999Satellite Beach, FL 32937

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