KF
Kathie L. Foreman
Some features on this profile are disabled
CRD#: 4467496
KF
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.
Kathie Lee Foreman, AIF®, who also goes by Kathie L Foreman, Kathie Lee Wells, was a registered financial professional .
Kathie is a previously registered financial professional and started their career in finance in 2001. Kathie had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kathie L Foreman | Kathie Lee Wells
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: New Paradigm Investments. Investment related. Address: 301 River Road, Maumee, OH 43537. Nature of Business: DBA for Securities and Insurance. Position/Title/Relationship: Owner. Start Date: 06/2016. Hours per month: 260. Hours per month during Securities trading hours: 100%. Duties/Responsibilities: Management of discretionary and non-discretionary portfolios. Management of a limited number of variable annuity contracts that I took over as a rep. Market and sell non-market products that have included REIT's, BDC's, Oil and Gas programs, and Tax credits programs. No. 2) Name of Business: Generations Financial Group, LLC. Non-Investment related. Address: 301 River Road, Maumee, OH 43537. Nature of Business: LLC set up for accounting purposes to record business expenses and income from financial service. Position/Title/Relationship: Managing Member. Start Date: 07/18/2005. Hours per month: 0. Hours per month during Securities trading hours: 0. Duties/Responsibilities: N/A. No. 3) Name of Business: KLF Management. Non-Investment related. Address: 301 River Road, Maumee, OH 43537. Nature of Business: Set up as a LLC for accounting purposes to provide tax savings and to oversee other business interest. Position/Title/Relationship: 100% Shareholder. Start Date: 12/21/2007. Hours per month: 5. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Intra-business consulting. No. 4) Name of Business: 301 River Road, LLC. Non-Investment related. Address: 301 River Road, Maumee, OH 43537. Nature of Business: LLC set up for the lease space in the building. Position/Title/Relationship: Sole Member. Start Date: 05/30/2008. Hours per month: 0. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Set up for accounting purposes. No. 5) Name of Business: New Paradigm Investments. Investment related. Address: 301 River Road, Maumee, OH 43537. Nature of Business: DBA RIA Representative with Advisory Services Network, LLC. Position/Title/Relationship: Owner. Start Date: 06/2016. Hours per month: 40. Hours per month during Securities trading hours: 100%. Duties/Responsibilities: Discretionary management of accounts through Fidelity. No. 6) Name of Business: Kathie Foreman. Non-Investment related. Address: 920 W. Wayne, Maumee, OH 43537. Nature of Business: Children's Book Author. Position/Title/Relationship: Owner. Start Date: 03/2017. Hours per month: N/A. Hours per month during Securities trading hours: N/A. Duties/Responsibilities: The book is for sale through Amazon, Barnes and Noble, and Outskirts press. No. 7) Name of Business: Kathie & Sam Foreman Trust. Non-Investment related. Nature of Business: Owner of rental property, single family home. Position/Title/Relationship: Owner. Start Date: 2020. Hours per month: N/A. Hours per month during Securities trading hours: N/A. Duties/Responsibilities: Landlord.
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®
Experience
Past
June 14, 2016 - November 7, 2023
CALTON & ASSOCIATES, INC.
BD
CRD#: 20999
Maumee, OH
Past
June 13, 2016 - November 6, 2023
ADVISORY SERVICES NETWORK
RIA
CRD#: 146051
Maumee, OH
Past
October 10, 2006 - May 31, 2016
SPC
RIA
CRD#: 110692
MAUMEE, OH
Past
October 9, 2006 - May 31, 2016
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
MAUMEE, OH
Past
January 3, 2005 - August 18, 2006
OBS BROKERAGE SERVICES, INC.
RIA
CRD#: 104281
WHITEHOUSE, OH
Past
November 4, 2002 - October 9, 2006
OBS BROKERAGE SERVICES, INC.
BD
CRD#: 104281
WHITEHOUSE, OH
Past
December 7, 2001 - October 3, 2002
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, 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".
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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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.
