TrueAdvisor
TrueAdvisor
AS
AS

Anthony Charles Smith

Calton & Associates, INC.
31 Years of Experience
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary
Areas of Practice
Investment ManagementRetirement PlanningEstate PlanningEducation PlanningInsurance Planning
Calton & Associates, INC.
Compensation
Commission-BasedFee-Only (AUM)Fixed/Hourly
Firm Size
223 advisors
Number of Clients
6,062 clients
Average Client Portfolio
$201K average
Assets Under Management
$1.2B

Fee Structure

Minimum Investment:$50K

Location

2701 N Rocky Point Drive, Suite 1000, Tampa, FL, 33607

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2021
Settled
Customer Dispute
October 2020
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Anthony owns Windward Wealth Management, LLC, providing investment advice and managing client accounts, which takes nearly full-time. He is also a partner in Windward Insurance & Tax Services, LLC, offering accident, life, health, annuities, home & auto insurance, and tax preparation, dedicating a few hours per week.

Employment History
Current Registrations
Calton & Associates, INC.
February 2015 - Present · 11 yrs
Calton & Associates, INC.Broker
February 2015 - Present · 11 yrs
Previous Registrations
Newport Coast Asset Management
October 2010 - February 2015 · 4 yrs 4 mos
Newport Coast Securities, INC.Broker
July 2008 - February 2015 · 6 yrs 7 mos
Berthel, Fisher & Company Financial Services, INC.Broker
March 2003 - July 2008 · 5 yrs 4 mos
Continental Capital Investment Services, INC.Broker
April 2000 - March 2003 · 2 yrs 11 mos
Prime Capital Services, INC.Broker
August 1999 - April 2000 · 8 mos
Brookstreet Securities CorporationBroker
February 1998 - September 1999 · 1 yr 7 mos
Mfi Investments CORP.Broker
January 1998 - March 1998 · 2 mos
Crispin Koehler SecuritiesBroker
July 1997 - February 1998 · 7 mos
John Hancock Distributors, INC.Broker
January 1997 - July 1997 · 6 mos
John Hancock Mutual Life Insurance CompanyBroker
January 1997 - May 1997 · 4 mos
Dean Witter Reynolds INC.Broker
July 1995 - December 1996 · 1 yr 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 1994 - July 1995 · 1 yr
State Registrations12 states
CACTFLGAHIINMTNCNYOKVAWA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.