Dominick Calderazzo
14497 n. Dale Mabry Hwy
Suite 215
Tampa, Florida, 33618
Suite 215
Tampa, Florida, 33618
Registry Member Since 2007
Business Philosophy
Did Not Provide
My Minimum Asset Requirements: $250,000
Types of Clients:
- Individuals
- Companies (Non-Pension)
- Companies (Pension)
- Public Funds
- Foundations
- Other
Types of Services:
- Investment Advice & Services
Assets Under Management:
- Did Not Provide
Number of Clients:
- Did Not Provide
1. What are your firm names?
-
Registered Investment Advisor
Calton & Associates, Inc.
-
Broker Dealer
Calton & Associates, Inc
2. What is your type of RIA registration?
- SEC
3. Are you a sole practitioner or a member of a firm or team?
- Sole Practitioner
4. What is your relationship to your Registered Investment Advisor?
- Employee
5. What are your years of applicable financial service experience?
- 16 Years
6. Do you have any college degree(s)?
- No
7. Do you belong to any industry associations?
- Kingdom Advisors
- International Association of Registered Financial Consultants
- FI 360 - Center for Fiduciary Studies
8. What is your CRD or IARD number?
- 2482440
9. Do you hold any active securities licenses?
- Series 7
- Series 24
- Series 63
- Series 66
10. Which categories of financial services do you provide?
- Investment Advice & Services
11. Which planning services do you provide?
- Financial Plans
- Retirement Plans
- College Plans
- Estate Plans
- Charitable Plans
- Other
12. Which investment advisory services do you provide?
- Investment Strategy & Policy
- Risk Management
- Rebalancing
- Money Manager Selection
- Performance Reports
- Other
- Asset Allocation
13. If you make investment decisions for clients, how do you invest their assets?
- Did Not Provide
14. How many clients (not accounts) do you currently service?
- Did Not Provide
15. What amount of client assets is currently under your management or advisement?
- Did Not Provide
16. What is minimum fee for your planning services?
- Did Not Provide
17. What is your minimum asset requirement for your investment services?
- $250,000
18. What is your minimum net worth requirement for your planning services?
- Did Not Provide
19. What type of compensation do you receive for your planning services?
- Asset Based Fees
- Hourly Fees
- Fixed Fees
20. What type of compensation do you receive for your investment advisory services?
- Asset Based Fees
- Hourly Fees
- Fixed Fees
- Commission (Insurance)
21. Do you work with remote clients over the Internet and telephone?
- Yes
22. Do you hold any active insurance licenses?
- Life
- Annuity
- Health
23. Are you a Registered Investment Advisor or an Investment Advisor Representative?
- Yes
24. Do you acknowledge you are a fiduciary when you provide financial advice and services for fees?
- Yes
25. What states are covered by your registration(s) to sell investment advisory services?
- California
- Florida
26. What states are covered by your registration(s) to sell investment and brokerage products?
- Did Not Provide
27. What states are covered by your registration(s) to sell insurance products?
- Did Not Provide
28. Do you have any compliance disclosures for the past 5 years?
- Investment Disclosures: No
- Insurance Disclosures: No
29. Do you have any criminal disclosures since you became an adult?
- Misdemeanors: No
- Felonies: No
30. How do investors view your ADV Part II?
Available Upon Request
31. Additional Disclosure Statements or Comments
- Calton & Associates Inc. is a Tampa Florida based registered investment advisor, registered with the SEC, and is a securities broker dealer that is a member of FINRA/SIPC. Calton and Associates does not offer tax or legal advice. You should consult with your tax or legal advisors regarding your personal circumstances.
32. What languages do you speak fluently?
- Did Not Provide
33. What is your primary role?
- Did Not Provide
34. Which investment products do you sell?
- REITs
- Private Placements
- Other
35. Which insurance products do you sell?
- Life
- Fixed Annuities
- Variable Annuities
- Disability Income
- Long Term Care
36. Do you provide tax advice and services?
- No
37. Do you provide legal advice and services?
- Did Not Provide
38. Do you provide any limited engagement services?
- Financial Plan Reviews
39. What types of clients do you work with?
- Individuals
- Companies (Non-Pension)
- Companies (Pension)
- Public Funds
- Foundations
- Other
40. Where does your first meeting with a prospective client take place?
- Investor's Preference
41. Which companies act as custodians for your clients assets?
- Pershing
- Folio Institutional
- Interactive Brokers
42. What types of reports do you provide your clients and what is the frequency?
43. General Comments:
Certification
I certify all of the information in my professional profile is accurate and up-to-date.
Advisor Name:
Dominick Calderazzo
Most Recent Update: May/10/2013
Most Recent Update: May/10/2013