SH
Steven M. Heinowitz
CALTON & ASSOCIATES
Hoboken, NJ 07030
CRD#: 5781894
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SH
Steven Marc HeinowitzCALTON & ASSOCIATES
Professional summary
Steven Marc Heinowitz is a registered financial advisor currently at CALTON & ASSOCIATES, INC. located in Hoboken, New Jersey.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Steven has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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 Steven Marc Heinowitz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven Marc Heinowitz'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
July 15, 2025 - Present
CALTON & ASSOCIATES, INC.
Office #1: 221 River St 9th Floor, Hoboken, NJ 07030RIA
BD
CRD#: 20999
Hoboken, NJ
Current
July 14, 2025 - Present
CALTON & ASSOCIATES, INC.
Office #1: 221 River St 9th Floor, Hoboken, NJ 07030RIA
BD
CRD#: 20999
Hoboken, NJ
Past
April 28, 2023 - August 12, 2025
HEROLD ADVISORS, INC.
RIA
CRD#: 105090
Staten Island, NY
Past
April 28, 2023 - August 12, 2025
HEROLD & LANTERN INVESTMENTS, INC.
BD
CRD#: 30996
Staten Island, NY
Past
January 18, 2022 - May 1, 2023
QUINT CAPITAL CORPORATION
RIA
CRD#: 26586
NEW YORK, NY
Past
January 17, 2022 - May 1, 2023
QUINT CAPITAL CORPORATION
BD
CRD#: 26586
NEW YORK, NY
Past
September 4, 2019 - January 19, 2022
WELLINGTON SHIELDS & CO., LLC
RIA
CRD#: 149021
NEW YORK, NY
Past
August 29, 2019 - January 19, 2022
WELLINGTON SHIELDS & CO., LLC
BD
CRD#: 149021
NEW YORK, NY
Past
December 1, 2014 - September 12, 2019
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
New York, NY
Past
December 1, 2014 - September 12, 2019
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
New York, NY
Past
January 30, 2013 - December 9, 2014
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
PARAMUS, NJ
Past
January 30, 2013 - December 9, 2014
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
PARAMUS, NJ
Past
July 2, 2010 - February 14, 2013
MORGAN STANLEY
RIA
CRD#: 149777
PARAMUS, NJ
Past
June 4, 2010 - February 14, 2013
MORGAN STANLEY
BD
CRD#: 149777
PARAMUS, 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
Colorado(2/24/2026)
RR
Connecticut(7/14/2025)
RR
Florida(7/14/2025)
RR
New Jersey(7/14/2025)
IAR
New Jersey(7/15/2025)
RR
New York(7/14/2025)
RR
Ohio(7/14/2025)
RR
Pennsylvania(7/14/2025)
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
373
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 |
Regulatory assets under management
| Total Number of Accounts | 6,969 |
| AUM (Assets Under Management) | $ 1,576,517,756 |
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.
