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JS

Joseph G. Schretzmann

Some features on this profile are disabled
CRD#: 415201
JS

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Joseph Gustav Schretzmann SR, who also goes by Joseph Gustav Schretzmann Jr, Joseph Gustav Schretzmann, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1969. Joseph had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 1 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joseph Gustav Schretzmann Jr | Joseph Gustav Schretzmann

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 3, 2015 - May 1, 2017

CALTON & ASSOCIATES, INC.

BD
CRD#: 20999
TAMPA, FL
Past

September 23, 2005 - July 31, 2015

JHS CAPITAL ADVISORS, LLC

BD
CRD#: 112097
LAKE BUTLER, FL
Past

January 2, 2002 - September 23, 2005

STERLING FINANCIAL INVESTMENT GROUP, INC.

BD
CRD#: 41506
BOCA RATON, FL
Past

May 20, 1993 - December 31, 2001

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

February 20, 1990 - December 31, 1992

THE O.N. EQUITY SALES COMPANY

BD
CRD#: 2936
CINCINNATI, OH
Past

November 20, 1989 - December 11, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

BD
CRD#: 6403
Past

November 19, 1989 - February 8, 1990

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

September 27, 1988 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

BD
CRD#: 6403
Past

March 17, 1988 - August 23, 1988

ESCALATOR SECURITIES, INC.

BD
CRD#: 16985
Past

June 23, 1981 - March 22, 1988

FIRST EQUITY CORPORATION OF FLORIDA

BD
CRD#: 9
Past

October 15, 1969 - March 1, 1977

FIRST EQUITY CORPORATION OF FLORIDA

BD
CRD#: 9

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/19/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/1/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/20/1981
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 7/10/1967
Registered Representative Examination

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#: 20999

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