JF
Joseph W. Fields
CALTON & ASSOCIATES
Matawan, NJ 07747
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CRD#: 4618100
JF
Professional summary
Joseph William Fields, who also goes by Joe Fields, Joseph Fields, is a registered financial advisor currently at CALTON & ASSOCIATES, INC. located in Matawan, New Jersey.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Joseph has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joe Fields | Joseph Fields
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.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph William Fields's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph William Fields'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
September 15, 2025 - Present
CALTON & ASSOCIATES, INC.
Office #1: 100 Matawan Rd Ste 415, Matawan, NJ 07747RIA
BD
CRD#: 20999
Matawan, NJ
Current
September 18, 2025 - Present
CALTON & ASSOCIATES, INC.
Office #1: 100 Matawan Rd Ste 415, Matawan, NJ 07747RIA
BD
CRD#: 20999
Matawan, NJ
Past
June 13, 2025 - September 5, 2025
STAR WEALTH ADVISORS
RIA
CRD#: 332344
Manalapan, NJ
Past
April 15, 2015 - May 23, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
EAST BRUNSWICK, NJ
Past
April 15, 2015 - May 23, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
EAST BRUNSWICK, NJ
Past
June 20, 2013 - July 17, 2014
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
MOUNT LAUREL, NJ
Past
June 20, 2013 - July 17, 2014
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
MOUNT LAUREL, NJ
Past
December 1, 2005 - June 18, 2013
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
BALTIMORE, MD
Past
December 1, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
WOODBRIDGE, NJ
Past
December 1, 2005 - June 18, 2013
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
BALTIMORE, MD
Past
November 12, 2004 - December 31, 2005
CITISTREET FINANCIAL SERVICES LLC
RIA
CRD#: 107311
WOODBRIDGE, NJ
Past
November 12, 2004 - December 31, 2005
CITISTREET EQUITIES LLC
BD
CRD#: 7447
SOMERSET, NJ
Past
March 10, 2003 - May 26, 2004
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
LAKEWOOD, NJ
Past
February 17, 2003 - May 26, 2004
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, 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
Florida(10/30/2025)
IAR
New Jersey(9/15/2025)
RR
New Jersey(9/18/2025)
Exams
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 | CEO / DIRECTOR | 1569353 |
| CICCATI, RANDALL LEE | SHAREHOLDER | 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.
