DS
David M. Sharp
CALTON & ASSOCIATES
Lafayette, IN 47905
Some features on this profile are disabled
CRD#: 6182171
DS
Professional summary
David Mark Sharp, who also goes by David Sharp, is a registered financial advisor currently at CALTON & ASSOCIATES, INC. located in Lafayette, Indiana.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. David has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Sharp
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) M3D Property Management, LLC, Is Not Investment Related, Property Management, Managing Member,2020-11-25,5 hours per month,5 hours per month during trading hours, Other Compensation, Split of any business profits among other owners. 2) LWMG Insurance, LLC, Is Not Investment Related,"133 N 4th St, Suite 501, Lafayette, IN, 47901, Insurance Sales, President / CEO,2020-02-19,20 hours per month,20 hours per month during trading hours, Commission Compensation, Sales of P&C Insurance Products. 3) Aflac, Is Not Investment Related,133 N 4th Street, Suite 501, Lafayette, IN, 47901, Fixed Insurance, Broker,2019-10-16,10 hours per month,10 hours per month during trading hours, Commission Compensation, Sell fixed insurance products. 4) East Tipp Summer Recreation Association, Is Not Investment Related, Youth Rec league, Board President,2015-11-01,5 hours per month,0 hours per month during trading hours, No Compensation, President of the board. 5) Lafayette Wealth Management Group, LLC, Is Investment Related,"133 N 4th Street, Suite 501, Lafayette, IN, 47901, United States", DBA for Calton & Associates Business, President / CEO,2015-12-28,200 hours per month,200 hours per month during trading hours, Commission Compensation, Wealth Advisor, this is a DBA for my Calton & Associates Business. 6) RSW Sports Management LLC, Not Investment Related, Sports Leagues, Teams, Camps and Clinics, Owner, 2022-05-18, 2409 Farmington PL, Lafayette, IN 47905. 1 hour per month,1 hour per month during trading hours, Compensation: based on net proceeds at end of year. Will manage the financials for the business. Will manage the financials for the business . 7) RSW Property Management, Inc. Not Investment Related, Property Management, Partner, 2022-05-18, 2409 Farmington PL, Lafayette, IN 47905. 1 hour per month,1 hour per month during trading hours, Compensation, Revenue Sharing. Own real estate to be leased out to other business. 8) MD3 Sports Management. Not Investment Related. Partner. Address: 2409 Farmington PL Lafayette, IN 47905. Sports leagues and tournaments. 0 hours spent during securities trading hours. Started 2020-11-25, compensation will be a split of net revenue. Will manage the financials for the business.
CRS (Client Relationship Summary) - RIA
Click below to view David Mark Sharp's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Mark Sharp'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
October 14, 2019 - Present
CALTON & ASSOCIATES, INC.
Office #1: 2920 Conservation Club Rd, Lafayette, IN 47905Office #2: 2701 N. Rocky Point Drive Suite 1000, Tampa, FL 33607Office #3: 2701 N. Rocky Point Drive Suite 1000, Tampa, FL 33607RIA
BD
CRD#: 20999
Lafayette, IN
Current
October 14, 2019 - Present
CALTON & ASSOCIATES, INC.
Office #1: 2920 Conservation Club Rd, Lafayette, IN 47905Office #2: 2701 N. Rocky Point Drive Suite 1000, Tampa, FL 33607Office #3: 2701 N Rocky Point Drive Suite 1000, Tampa, FL 33607RIA
BD
CRD#: 20999
Lafayette, IN
Past
October 29, 2015 - October 30, 2019
LPL FINANCIAL LLC
RIA
CRD#: 6413
LAFAYETTE, IN
Past
October 29, 2015 - October 30, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
LAFAYETTE, IN
Past
January 21, 2014 - October 29, 2015
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
LAFAYETTE, IN
Past
September 11, 2013 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
LAFAYETTE, IN
Past
May 22, 2013 - October 29, 2015
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
LAFAYETTE, IN
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
Illinois(10/14/2019)
RR
Indiana(10/14/2019)
IAR
Indiana(10/14/2019)
RR
Michigan(10/14/2019)
RR
Ohio(10/14/2019)
RR
Oklahoma(10/14/2019)
RR
Tennessee(1/3/2024)
RR
Wisconsin(10/14/2019)
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.
Company Information
CALTON & ASSOCIATES, INC.
CRD#: 20999Lafayette, IN 47905TRUST BUT VERIFY
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