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 |
|---|---|---|---|---|---|---|---|---|
| Kevin James Marsh | 2006082 | 4 | 09/24/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Rix Carlton Smith | 1061442 | 2 | 12/19/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Thomas Mayes | 717727 | 3 | 11/22/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Thomas Payne | 2294559 | 2 | 08/26/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frank Marion Currie | 1207937 | 5 | 10/29/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dwayne Kent Calton | 501638 | 2 | 08/13/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Myra Ann Tucker | 812515 | 2 | 05/08/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Woody Bernard Margozewitz | 1722053 | 6 | 09/23/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Derek Jay Calton | 1192608 | 4 | 08/07/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Derek Jay Calton | 1192608 | 4 | 05/15/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |