AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JP

Jerome J. Prusko

CALTON & ASSOCIATES
Milwaukee, WI 53214
Some features on this profile are disabled
CRD#: 843815
JP

Professional summary

Jerome Joseph Prusko, who also goes by Jerome J Prusko, Jerry Prusko, is a registered financial professional currently at CALTON & ASSOCIATES, INC. located in Milwaukee, Wisconsin.

Jerome is registered as a RR (Registered Representative) and started their career in finance in 1977. Jerome has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 1 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jerome J Prusko | Jerry Prusko

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) - BD

Click below to view Jerome Joseph Prusko's CRS (Customer Relationship Summary).
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®
None

Experience

Current

June 27, 2019 - Present

CALTON & ASSOCIATES, INC.

Office #1: 9000 W Chester Street Suite 133, Milwaukee, WI 53214
RIA
BD
CRD#: 20999
Milwaukee, WI
Past

August 30, 2005 - December 31, 2009

CAPITAL FINANCIAL SERVICES, INC.

RIA
CRD#: 8408
MILWAUKEE, WI
Past

April 2, 1986 - June 27, 2019

CAPITAL FINANCIAL SERVICES, INC.

BD
CRD#: 8408
MILWAUKEE, WI
Past

December 4, 1981 - April 8, 1986

CHARTER SECURITIES CORPORATION

BD
CRD#: 7062
Past

October 12, 1977 - November 11, 1981

FPC SECURITIES CORPORATION

BD
CRD#: 5970

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.

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
(6/27/2019)
RR
Minnesota
(6/27/2019)
RR
Nebraska
(8/3/2020)
RR
Nevada
(8/9/2019)
RR
North Carolina
(6/27/2019)
RR
Wisconsin
(7/26/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 11/17/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/16/1980
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 10/5/1977
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/9/1983
General Securities Principal Examination
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
CICCATI, RANDALL LEESHAREHOLDER1569353
CICCATI, RANDALL LEECEO / DIRECTOR1569353
SINGH, RAMESHWARDIRECTOR / SECRETARY /PRESIDENT OF ADVISORY SERVICES4660047
SINGH, RAMESHWARSHAREHOLDER4660047
CICCATI, JILL MARIESHAREHOLDER
THE LOUIS CICCATI AND ADELINE CARMELA CICCATI REVOCABLE TRUSTSHAREHOLDER, LOUIS CICCATI AND ADELINE CARMELA CICCATI, TTEE
CALTON, DEREK JAYVICE PRESIDENT - DIRECTOR1192608
CALTON, DWAYNE KENTPRESIDENT - DIRECTOR
CICCATI, ADELINE CARMELATRUSTEE OF THE LOUIS CICCATI AND ADELINE CARMELA CICCATI REVOCABLE TRUST
CICCATI, AUSTIN LOUISSHAREHOLDER6351650
CICCATI, CARLY MARIESHAREHOLDER6351667
COLE, DAVID SCOTTCHIEF FINANCIAL OFFICER/FINOP4181156
RAHMOUNI IDRISSI, SAADCHIEF COMPLIANCE OFFICER4071743
RICHARDSON, PAUL REIDCHIEF OPERATIONS OFFICER1006146

Regulatory assets under management

Total Number of Accounts7,559
AUM (Assets Under Management)$ 1,216,021,701

Disclosures

Regulatory Event13
Arbitration6

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#: 20999Milwaukee, WI 53214

TRUST BUT VERIFY

Monitor Jerome Prusko

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Shelly May Wohler
Shelly WohlerAdvisorCheck Check Mark
INDEPENDENT FINANCIAL PARTNERS
IAR
RR
Brookfield, WI
Casey John Berrall
Casey BerrallAdvisorCheck Check Mark
BKM WEALTH MANAGEMENT
IAR
Brookfield, WI
CB
Carson BiberAdvisorCheck Check Mark
DRAKE & ASSOCIATES, LLC
IAR
WAUKESHA, WI
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.