JW
Joseph M. Waters
CALTON & ASSOCIATES
East Islip, NY
Some features on this profile are disabled
CRD#: 713482
JW
Professional summary
Joseph Michael Waters, who also goes by Joe Waters, is a registered financial advisor currently at CALTON & ASSOCIATES, INC. located in East Islip, New York.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Joseph has worked at 20 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joe Waters
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)SERVICING INDIVIDUAL SENIOR MEDICARE SUPPLEMENTAL POLICIES
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Michael Waters's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph Michael Waters'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 14, 2023 - Present
CALTON & ASSOCIATES, INC.
RIA
BD
CRD#: 20999
East Islip, NY
Current
September 7, 2023 - Present
CALTON & ASSOCIATES, INC.
Office #1: 2701 N Rocky Point Drive Suite 1000, Tampa, FL 33607RIA
BD
CRD#: 20999
TAMPA, FL
Past
July 30, 2021 - September 11, 2023
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
WESTBURY, NY
Past
July 30, 2021 - September 11, 2023
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
WESTBURY, NY
Past
March 31, 2021 - August 2, 2021
GWN SECURITIES INC.
RIA
CRD#: 128929
HAUPPAUGE, NY
Past
June 20, 2016 - December 31, 2020
GWN SECURITIES INC.
RIA
CRD#: 128929
HAUPPAUGE, NY
Past
May 16, 2016 - August 2, 2021
GWN SECURITIES INC.
BD
CRD#: 128929
HAUPPAUGE, NY
Past
October 26, 2015 - May 23, 2016
OSAIC FA, INC.
BD
CRD#: 3978
MELVILLE, NY
Past
February 23, 2015 - November 6, 2015
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
CENTER MORICHES, NY
Past
January 10, 2013 - February 19, 2015
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
LATHAM, NY
Past
October 19, 2011 - February 19, 2015
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
LATHAM, NY
Past
June 1, 2010 - October 24, 2011
PLANMEMBER SECURITIES CORPORATION
BD
CRD#: 11869
EAST ISLIP, NY
Past
March 23, 2007 - June 15, 2010
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
UNIONDALE, NY
Past
August 29, 2000 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
BD
CRD#: 5081
HOUSTON, TX
Past
August 29, 2000 - March 29, 2007
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
MORRISTOWN, NJ
Past
December 21, 1996 - August 15, 2000
MUTUAL OF AMERICA SECURITIES LLC
BD
CRD#: 27878
NEW YORK, NY
Past
August 5, 1996 - August 15, 2000
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
BD
CRD#: 15356
NEW YORK, NY
Past
October 20, 1994 - August 8, 1996
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
May 9, 1994 - October 21, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
May 9, 1994 - October 21, 1994
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
December 3, 1993 - May 10, 1994
PRIME CAPITAL SERVICES, INC.
BD
CRD#: 18334
POUGHKEEPSIE, NY
Past
March 15, 1991 - July 5, 1991
JARON EQUITIES CORP.
BD
CRD#: 5764
HICKSVILLE, NY
Past
April 13, 1989 - June 23, 1993
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
April 13, 1989 - June 23, 1993
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
Past
February 17, 1988 - December 20, 1988
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
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
New York(9/7/2023)
IAR
New York(9/14/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 8/5/1980
Registered Representative ExaminationSRO 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.
