Our Staff has compiled our research into a database of FINRA Broker Disclosures for Calton & Associates, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Amy Lynn Colton | 5966664 | 14 | 07/11/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gary Allen Graham | 2111230 | 4 | 05/05/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gary Allen Graham | 2111230 | 4 | 03/25/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kathleen Marie Tavs | 2938018 | 3 | 10/09/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Reid Richardson | 1006146 | 1 | 09/03/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Scott Coffee | 2960532 | 5 | 05/28/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Traviss King | 5753296 | 5 | 05/13/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kathleen Marie Tavs | 2938018 | 3 | 12/18/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dennis Todd Witthoeft | 1631137 | 2 | 10/02/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Layton Hepworth | 709274 | 1 | 12/11/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |