JE
Jason M. Edwards
CALTON & ASSOCIATES
Winter Park, FL 32792
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CRD#: 4182788
JE
Professional summary
Jason Michael Edwards, who also goes by Jason Michael Edwards, is a registered financial advisor currently at CALTON & ASSOCIATES, INC. located in Winter Park, Florida and EDWARDS FINANCIAL SERVICES located in Winter Park, Florida.
Jason is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Jason has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jason Michael Edwards
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: Edwards Financial Services. Investment related. Address: 5494 Lake Howell Rd., Winter Park, FL 32792. Nature of Business: DBA for Insurance Services. Position/Title/Relationship: Partner. Start Date: 12/29/1999. Hours per month: 35. Hours per month during Securities trading hours: 25. Duties/Responsibilities: Investment services, insurance services, estate planning, educational planning. No. 2) Name of Business: Winter Park Chamber of Commerce, Florida Hospital, Florida Citrus Sports. Non-Investment related. Address: 671 Winyah Dr., Orlando, FL 32803. Nature of Business: Board Member. Position/Title/Relationship: Board Member. Start Date: 01/01/2004. Hours per month: 1-3. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Board Member.
CRS (Client Relationship Summary) - RIA
Click below to view Jason Michael Edwards's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jason Michael Edwards'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
November 4, 2013 - Present
CALTON & ASSOCIATES, INC.
Office #1: 5494 Lake Howell Rd, Winter Park, FL 32792RIA
BD
CRD#: 20999
Winter Park, FL
Current
May 19, 2022 - Present
EDWARDS FINANCIAL SERVICES
Office #1: 5494 Lake Howell Rd, Winter Park, FL 32792RIA
CRD#: 150517
WINTER PARK, FL
Current
October 29, 2013 - Present
CALTON & ASSOCIATES, INC.
Office #1: 5494 Lake Howell Rd, Winter Park, FL 32792RIA
BD
CRD#: 20999
Winter Park, FL
Past
July 17, 2014 - September 10, 2015
EB5 SELECT LLC
RIA
CRD#: 169818
DAVENPORT, FL
Past
December 1, 2006 - November 19, 2013
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
WINTER PARK, FL
Past
August 25, 2006 - November 19, 2013
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
WINTER PARK, FL
Past
July 11, 2005 - June 16, 2006
USALLIANZ SECURITIES, INC.
RIA
CRD#: 40875
WINTER PARK, FL
Past
November 21, 2003 - December 1, 2006
USALLIANZ SECURITIES, INC.
BD
CRD#: 40875
WINTER PARK, FL
Past
April 30, 2002 - August 12, 2003
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
June 13, 2000 - May 8, 2002
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
WINTER PARK, FL
Past
June 12, 2000 - May 8, 2002
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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
Arizona(5/25/2022)
RR
California(10/29/2013)
RR
Colorado(6/1/2022)
RR
Connecticut(4/10/2015)
RR
District of Columbia(5/4/2022)
RR
Florida(11/4/2013)
IAR
Florida(11/4/2013)
RR
Georgia(4/18/2022)
RR
Louisiana(10/29/2013)
RR
Maryland(5/3/2022)
RR
Michigan(5/2/2022)
RR
Missouri(11/14/2013)
RR
New Jersey(10/29/2013)
RR
New York(10/29/2013)
IAR
New York(2/14/2021)
RR
North Carolina(10/28/2015)
RR
Oregon(5/3/2022)
RR
Pennsylvania(11/19/2013)
RR
South Carolina(10/4/2021)
RR
Tennessee(4/28/2022)
RR
Texas(11/1/2016)
IAR
Texas(5/19/2022)
RR
Virginia(4/28/2022)
Exams
State Security Law Exam
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)
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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)
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.
