AC
Amy L. Colton
FOREFRONT
Austin, TX 78735
Some features on this profile are disabled
CRD#: 5966664
AC
Professional summary
Amy Lynn Colton, who also goes by Amy Lubis, is a registered financial advisor currently at FOREFRONT located in Austin, Texas and CALTON & ASSOCIATES, INC. located in Austin, Texas.
Amy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Amy has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Amy Lubis
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.
1) Linda Welsh Realty. Non-Investment related. Address: 3801 N Capital of TX Highway E240-412, Austin, TX 78746. Nature of Business: Licensed Real Estate Agent that refers clients and receives a commission. Position/Title/Relationship: Agent. Start Date: 01/01/2019. Hours per month: 1. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Refers client to realty firm. 2) Your Divorce Made Simple. Non-Investment related. Address: 7500 Rialto Blvd, Bldg 1 Suite 250, Austin, TX, 78735. Nature of Business: Divorce advice and mediation. Position/Title/Relationship: Partner. Start Date: 06/01/2020. Hours per month: 10. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Helping clients going through divorce understand the process of divorce. Help with the division of assets. Mediation if necessary. 3) Forefront Insurance Partners. Non-investment related. Address: 7500 Rialto Blvd, Bldg 1 Suite 250, Austin, TX, 78735. Nature of Business: Life/health insurance. Position/Title/Relationship: Partner, Life Insurance Agent. Start Date: 02/2021. Hours per month: 10. Hours per month during Securities trading hours: 10. Duties/Responsibilities: Life/health insurance consulting and sales. 4) Calton & Associates, Inc. (CRD# 20999). Investment related. Address: 2701 N Rocky Point Dr, Suite 1000, Tampa, FL 33607. Nature of Business: Broker-dealer. Position/Title/Relationship: Registered Representative. Start Date: 05/18/2020. Hours per month: 30. Hours per month during Securities trading hours: 30. Duties/Responsibilities: Securities consulting and sales. 5) Woman in Confidence. Non-investment. 7500 Rialto Blvd, Suite 250, Austin, TX 78735 Nature of business: No Products or services are offered. It is education only. Title: Officer. Start Date: 05/03/2014. Hours per Month: 10 Hours. Duties: None
CRS (Client Relationship Summary) - RIA
Click below to view Amy Lynn Colton'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 8, 2021 - Present
FOREFRONT
Office #1: 7500 Rialto Blvd, Bldg 1 Suite 250, Austin, TX 78735RIA
CRD#: 308521
Austin, TX
Current
March 30, 2023 - Present
CALTON & ASSOCIATES, INC.
Office #1: 7500 Rialto Boulevard Building 1 Suite 250, Austin, TX 78735RIA
BD
CRD#: 20999
Austin, TX
Past
May 21, 2020 - March 3, 2022
CALTON & ASSOCIATES, INC.
RIA
CRD#: 20999
Austin, TX
Past
May 18, 2020 - May 18, 2020
CALTON & ASSOCIATES, INC.
RIA
CRD#: 20999
Austin, TX
Past
May 18, 2020 - January 23, 2023
CALTON & ASSOCIATES, INC.
BD
CRD#: 20999
Austin, TX
Past
May 28, 2019 - May 18, 2020
IFP SECURITIES, LLC
BD
CRD#: 297287
Austin, TX
Past
October 19, 2015 - May 18, 2020
INDEPENDENT FINANCIAL PARTNERS
RIA
CRD#: 125112
Austin, TX
Past
May 8, 2014 - September 8, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
AUSTIN, TX
Past
May 8, 2014 - May 23, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
AUSTIN, TX
Past
March 31, 2014 - May 13, 2014
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
AUSTIN, TX
Past
February 13, 2012 - May 13, 2014
NYLIFE SECURITIES LLC
BD
CRD#: 5167
AUSTIN, TX
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".
FO
FOREFRONT
CHALK MONEY | THE 401(K) ADVISOR | SUMMIT ADVISORS, LLC | PRINCIPATUS WEALTH | POINT2 CAPITAL PARTNERS | PACE FINANCIAL SERVICES | NAMA PRIVATE WEALTH | MOUNTAIN HIGH WEALTH MANAGEMENT | MINDFUL FINANCIAL PARTNERS | LEONE AND COMPANY WEALTH MANAGEMENT | FOUR LEAF FINANCIAL PLANNING | FOREFRONT WEALTH PARTNERS, LLC | FOREFRONT WEALTH PARTNERS | FOREFRONT ADVISOR NETWORK | FOREFRONT | COAST FINANCIAL
CRD#: 308521 / SEC#: 801-130608
RIA
Registered Investment Advisory firm - (7/5/2024 Approved)Alaska
Registered Investment Advisory firm - (10/15/2024 Terminated)California
Registered Investment Advisory firm - (8/21/2024 Terminated)Florida
Registered Investment Advisory firm - (7/22/2024 Terminated)Michigan
Registered Investment Advisory firm - (7/29/2024 Terminated)New Hampshire
Registered Investment Advisory firm - (7/26/2024 Terminated)Ohio
Registered Investment Advisory firm - (7/22/2024 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/24/2024 Terminated)Texas
Registered Investment Advisory firm - (7/22/2024 Terminated)Virginia
Registered Investment Advisory firm - (7/23/2024 Terminated)Washington
Registered Investment Advisory firm - (8/26/2024 Terminated)Wisconsin
Registered Investment Advisory firm - (7/22/2024 Terminated)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
Alaska(8/25/2023)
RR
Arizona(11/25/2024)
IAR
California(5/11/2022)
RR
California(3/30/2023)
IAR
Florida(9/7/2022)
RR
Florida(3/31/2023)
RR
Iowa(5/29/2025)
RR
New Jersey(7/18/2025)
RR
New York(4/15/2025)
IAR
Texas(9/8/2021)
RR
Texas(3/30/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FO
FOREFRONT
CHALK MONEY | THE 401(K) ADVISOR | SUMMIT ADVISORS, LLC | PRINCIPATUS WEALTH | POINT2 CAPITAL PARTNERS | PACE FINANCIAL SERVICES | NAMA PRIVATE WEALTH | MOUNTAIN HIGH WEALTH MANAGEMENT | MINDFUL FINANCIAL PARTNERS | LEONE AND COMPANY WEALTH MANAGEMENT | FOUR LEAF FINANCIAL PLANNING | FOREFRONT WEALTH PARTNERS, LLC | FOREFRONT WEALTH PARTNERS | FOREFRONT ADVISOR NETWORK | FOREFRONT | COAST FINANCIAL
CRD#: 308521 / SEC#: 801-130608
RIA
Registered Investment Advisory firm - (7/5/2024 Approved)Alaska
Registered Investment Advisory firm - (10/15/2024 Terminated)California
Registered Investment Advisory firm - (8/21/2024 Terminated)Florida
Registered Investment Advisory firm - (7/22/2024 Terminated)Michigan
Registered Investment Advisory firm - (7/29/2024 Terminated)New Hampshire
Registered Investment Advisory firm - (7/26/2024 Terminated)Ohio
Registered Investment Advisory firm - (7/22/2024 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/24/2024 Terminated)Texas
Registered Investment Advisory firm - (7/22/2024 Terminated)Virginia
Registered Investment Advisory firm - (7/23/2024 Terminated)Washington
Registered Investment Advisory firm - (8/26/2024 Terminated)Wisconsin
Registered Investment Advisory firm - (7/22/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
7500 Rialto Blvd, Bldg 1 Suite 250, Austin, TX 78735
Mailing Address
Phone number
(512) 617-1984
Established
Firm type
Fiscal year end
# of Employees
15
SEC notice filing (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,382 |
| AUM (Assets Under Management) | $ 239,835,320 |
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.
