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Investment Adviser Firm Summary
CALTON & ASSOCIATES, INC. ( CRD # 20999/SEC#:801-70036,8-38635 )
CALTON, IEP FINANCIAL, CALTON & ASSOCIATES, INC.

The adviser's REGISTRATION status is listed below.

This adviser is also a brokerage firm
REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved4/7/2009
CaliforniaTerminated4/13/2009
ColoradoTerminated4/20/2009
DelawareTerminated4/23/2009
FloridaTerminated4/9/2009
GeorgiaTerminated4/9/2009
KansasTerminated4/9/2009
KentuckyTerminated4/14/2009
MichiganTerminated5/7/2009
MississippiTerminated4/9/2009
MissouriTerminated4/9/2009
MontanaTerminated4/9/2009
NebraskaTerminated4/17/2009
NevadaTerminated4/9/2009
New JerseyTerminated4/14/2009
North CarolinaTerminated4/9/2009
Rhode IslandTerminated4/9/2009
TennesseeTerminated5/9/2009
TexasTerminated4/7/2009
WisconsinTerminated4/9/2009
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.

JURISDICTIONEFFECTIVE DATE
Alabama9/10/2015
Alaska9/10/2015
Arizona2/8/2010
Arkansas8/26/2009
California5/19/2004
Colorado4/7/2009
Connecticut7/10/2012
Delaware4/23/2009
District of Columbia9/10/2015
Florida4/7/2009
Georgia4/7/2009
Hawaii9/10/2015
Idaho8/6/2014
Illinois4/7/2009
Indiana7/10/2012
Iowa9/10/2015
Kansas4/7/2009
Kentucky4/7/2009
Louisiana8/17/2011
Maine7/10/2012
Maryland7/10/2012
Massachusetts8/31/2011
Michigan4/7/2009
Minnesota4/7/2009
Mississippi4/7/2009
Missouri4/7/2009
Montana4/7/2009
Nebraska4/7/2009
Nevada4/7/2009
New Hampshire4/7/2009
New Jersey4/9/2009
New Mexico7/20/2012
New York4/14/2009
North Carolina4/7/2009
North Dakota9/10/2015
Ohio7/14/2011
Oklahoma7/10/2012
Oregon7/10/2012
Pennsylvania6/30/2009
Rhode Island4/7/2009
South Carolina1/4/2012
South Dakota9/10/2015
Tennessee4/7/2009
Texas4/7/2009
Utah9/10/2015
Vermont7/10/2012
Virginia7/10/2012
Washington5/11/2009
West Virginia1/15/2010
Wisconsin4/7/2009
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
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.