JM
Joseph S. Myers
CALTON & ASSOCIATES
Mount Laurel, NJ 08054
Some features on this profile are disabled
CRD#: 726436
JM
Professional summary
Joseph Stuart Myers, who also goes by Joe Myers, is a registered financial advisor currently at CALTON & ASSOCIATES, INC. located in Mount Laurel, New Jersey.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Joseph has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joe Myers
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.
No. 1) Name of Business: Myers & Co. Investment related. Address: 307 Fellowship Rd. Suite 202, Mount Laurel, NJ 08054. Nature of Business: Financial Advisor. Position/Title/Relationship: Owner. Start Date: 02/2016. Hours per month: 160. Hours per month during Securities trading hours: 160. Duties/Responsibilities: Financial Advisor with Calton & Associates with a DBA of Myers & Co.
No. 2) Name of Business: Exit Planning Exchange Philadelphia. Non-Investment related. Address: P.O. Box 305 Winchester, MA 01890. Nature of Business: Networking. Position/Title/Relationship: Board Member. Start Date: 02/2016. Hours per month: 2. Hours per month during Securities trading hours: 1. Duties/Responsibilities: Plan the Christmas party, and networking.
No. 3) Name of Business: Union League of Philadelphia. Non-Investment related. Address: Sansom Street & Broad Street, Philadelphia, PA 19109. Nature of Business: Committee Member. Position/Title/Relationship: Member. Start Date: 02/2016. Hours per month: 2. Hours per month during Securities trading hours: 1. Duties/Responsibilities: Review asset allocation only. No authority to act on. No business products or services offered.
No. 4) Name of Business: Mount America Foundation. Non-Investment related. Address: PO Box 521 30 Grey Horse Farm Rd., Nottingham, PA 19362. Nature of Business: Honoring the fallen, Healing veterans and military families. Building future leaders. Position/Title/Relationship: Advisory Council. Start Date: 09/21/2020. Hours per month: 0. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Attend events time to time. Memorial Day and 4th of July. No duties or responsibilities.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Stuart Myers's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph Stuart Myers'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
March 1, 2016 - Present
CALTON & ASSOCIATES, INC.
Office #1: 307 Fellowship Road Suite 202, Mount Laurel, NJ 08054RIA
BD
CRD#: 20999
Mount Laurel, NJ
Current
February 26, 2016 - Present
CALTON & ASSOCIATES, INC.
Office #1: 307 Fellowship Road Suite 202, Mount Laurel, NJ 08054RIA
BD
CRD#: 20999
Mount Laurel, NJ
Past
January 12, 2009 - March 1, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
MARLTON, NJ
Past
December 22, 2008 - January 12, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
MARLTON, NJ
Past
August 19, 2008 - March 1, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
MARLTON, NJ
Past
June 30, 1998 - August 21, 2008
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
PHILADELPHIA, PA
Past
August 25, 1987 - July 21, 1998
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
January 18, 1982 - September 1, 1987
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
Past
March 23, 1981 - January 26, 1982
ADVEST, INC.
BD
CRD#: 10
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
California(2/26/2016)
RR
Florida(12/7/2020)
RR
Massachusetts(2/26/2016)
RR
New Jersey(2/26/2016)
IAR
New Jersey(3/1/2016)
RR
New York(2/26/2016)
RR
Pennsylvania(2/26/2016)
RR
Virginia(8/22/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
