Donald R. Dwyer

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CRD#: 74288

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Donald Richard Dwyer SR, who also goes by Donald Richard Dwyer, was a registered financial professional .

Donald is a previously registered financial professional and started their career in finance in 1970. Donald had worked at 11 firms and has passed the Series 63, Series 55 and Series 00 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Donald Richard Dwyer

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 29, 2003 - September 8, 2003

CALTON & ASSOCIATES, INC.

CRD#: 20999

TAMPA, FL

Past

January 18, 1995 - November 5, 2002

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

ELMHURST, IL

Past

May 25, 1993 - January 13, 1995

JOHN DAWSON & ASSOCIATES, INC.

CRD#: 6347

CHICAGO, IL

Past

November 19, 1990 - May 12, 1993

SANCTUARY SECURITIES, INC.

CRD#: 205

MIAMI, FL

Past

May 3, 1990 - November 1, 1990

MALONE & ASSOCIATES, INC.

CRD#: 10412

DENVER, CO

Past

April 20, 1982 - May 24, 1988

CARY GRANT & COMPANY, INC.

CRD#: 7710

Past

August 10, 1978 - May 14, 1990

D.R. DWYER & COMPANY

CRD#: 1490

Past

April 12, 1978 - May 13, 1978

BLUNT ELLIS & LOEWI INCORPORATED

CRD#: 7580

Past

March 19, 1975 - December 30, 1977

HAMILTON INVESTMENTS, INC.

CRD#: 821

Past

September 11, 1974 - March 14, 1975

MCCORMICK & CO., INCORPORATED

CRD#: 973

Past

November 2, 1970 - September 4, 1974

DWYER & WALKER, INC.

CRD#: 1000009

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".

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)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 2/15/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 4/27/2000

Limited Representative-Equity Trader Exam

Principal/Supervisory Exam

Series 00

Date: 9/30/1970

General Securities Principal Examination

Current Firm

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A DISCLOSURE BROCHURE (12/19/2024)

FORM ADV PART 2A APPENDIX 1 WRAP FEE PROGRAM DISCLOSURE BROCHURE (12/19/2024)

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.

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Firm Stability Insights

Donald R. Dwyer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LASALLE ST SECURITIES, L.L.C.

JOHN DAWSON & ASSOCIATES, INC.

SANCTUARY SECURITIES, INC.

MALONE & ASSOCIATES, INC.

CARY GRANT & COMPANY, INC.

D.R. DWYER & COMPANY

BLUNT ELLIS & LOEWI INCORPORATED

HAMILTON INVESTMENTS, INC.

MCCORMICK & CO., INCORPORATED

DWYER & WALKER, INC.

Primary Firm SEC Registration

CALTON & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/15/1980

Series 55

Date: 4/27/2000

Series 00

Date: 9/30/1970

Current Firm

CALTON & ASSOCIATES, INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CALTON & ASSOCIATES, INC.

TRUST BUT VERIFY

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