Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
199019952000200520102015202020252 FIRMS2003 - 2004 (<1 year)2 FIRMS2019 - Present (5 years)BCAPITAL FINANCIAL SERVICES, INC. (CRD# 8408)2004 - 2019 (14 years)BFREEDOM FINANCIAL, INC. (CRD# 45850)2003 - 2003 (<1 year)BTHRIVENT INVESTMENT MANAGEMENT... (CRD# 18387)1990 - 2003 (13 years)BNYLIFE SECURITIES INC. (CRD# 5167)1989 - 1989 (<1 year)BAAL DISTRIBUTORS INC. (CRD# 18387)1987 - 1988 (1 year)IACAPITAL FINANCIAL SERVICES, INC. (CRD# 8408)2006 - 2019 (12 years)
Disclosure(s)
View By:
11/9/2015
Customer Dispute
Settled
License(s)

State Registrations

B
Colorado 9/23/2021
B
Oklahoma 5/1/2019
B
Florida 5/1/2019
IA
Texas 5/1/2019
IA
Florida 5/20/2019
B
Texas 5/29/2019

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CALTON & ASSOCIATES, INC. (CRD#:20999)
Clearwater, FL
Registered with this firm since 5/1/2019
B
CALTON & ASSOCIATES, INC. (CRD#:20999)
Clearwater, FL
Registered with this firm since 5/1/2019
Previous Registration(s)
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IA
 06/20/2006 - 04/30/2019 CAPITAL FINANCIAL SERVICES, INC. (CRD#:8408) EDMOND, OK
B
 09/24/2004 - 04/30/2019 CAPITAL FINANCIAL SERVICES, INC. (CRD#:8408) EDMOND, OK
IA
 12/19/2003 - 10/06/2004 EMPIRE INVESTMENT ADVISORS. INC (CRD#:108006) EDMOND, OK
B
 11/21/2003 - 10/06/2004 EMPIRE FINANCIAL GROUP, INC. (CRD#:28759)
FINRA expelled the firm on 03/30/2009
LONGWOOD, FL
B
 01/02/2003 - 11/24/2003 FREEDOM FINANCIAL, INC. (CRD#:45850) OMAHA, NE
B
 01/25/1990 - 01/06/2003 THRIVENT INVESTMENT MANAGEMENT INC. (CRD#:18387) MINNEAPOLIS, MN
B
 01/02/1989 - 12/31/1989 NYLIFE SECURITIES INC. (CRD#:5167) NEW YORK, NY
B
 06/09/1987 - 10/12/1988 AAL DISTRIBUTORS INC. (CRD#:18387) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.