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Investment Adviser Firm Summary

CALTON & ASSOCIATES, INC. (CRD# 20999 / SEC# 8-38635, 801-70036)
Alternate Names: CALTON , CALTON & ASSOCIATES, INC. , IEP FINANCIAL

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 04/07/2009
California Terminated 04/13/2009
Colorado Terminated 04/20/2009
Delaware Terminated 04/23/2009
Florida Terminated 04/09/2009
Georgia Terminated 04/09/2009
Kansas Terminated 04/09/2009
Kentucky Terminated 04/14/2009
Michigan Terminated 05/07/2009
Mississippi Terminated 04/09/2009
Missouri Terminated 04/09/2009
Montana Terminated 04/09/2009
Nebraska Terminated 04/17/2009
Nevada Terminated 04/09/2009
New Jersey Terminated 04/14/2009
North Carolina Terminated 04/09/2009
Rhode Island Terminated 04/09/2009
Tennessee Terminated 05/09/2009
Texas Terminated 04/07/2009
Wisconsin Terminated 04/09/2009

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 09/10/2015
Alaska 09/10/2015
Arizona 02/08/2010
Arkansas 08/26/2009
California 05/19/2004
Colorado 04/07/2009
Connecticut 07/10/2012
Delaware 04/23/2009
District of Columbia 09/10/2015
Florida 04/07/2009
Georgia 04/07/2009
Hawaii 09/10/2015
Idaho 08/06/2014
Illinois 04/07/2009
Indiana 07/10/2012
Iowa 09/10/2015
Kansas 04/07/2009
Kentucky 04/07/2009
Louisiana 08/17/2011
Maine 07/10/2012
Maryland 07/10/2012
Massachusetts 08/31/2011
Michigan 04/07/2009
Minnesota 04/07/2009
Mississippi 04/07/2009
Missouri 04/07/2009
Montana 04/07/2009
Nebraska 04/07/2009
Nevada 04/07/2009
New Hampshire 04/07/2009
New Jersey 04/09/2009
New Mexico 07/20/2012
New York 04/14/2009
North Carolina 04/07/2009
North Dakota 09/10/2015
Ohio 07/14/2011
Oklahoma 07/10/2012
Oregon 07/10/2012
Pennsylvania 06/30/2009
Rhode Island 04/07/2009
South Carolina 01/04/2012
South Dakota 09/10/2015
Tennessee 04/07/2009
Texas 04/07/2009
Utah 09/10/2015
Vermont 07/10/2012
Virginia 07/10/2012
Washington 05/11/2009
West Virginia 01/15/2010
Wisconsin 04/07/2009

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser