Individual Firm
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SCOTT EVANS TETER
CRD#: 1712630
IA
B
ADVISORY SERVICES NETWORKCRD#: 146051 15 W. Carillo St.
Santa Barbara, CA 93101
Santa Barbara, CA 93101
CALTON & ASSOCIATES, INC.CRD#: 20999 Santa Barbara, CA
0
Disclosures
36
Years of Experience
View By:
State Registrations
IA
California 12/1/2023
B
Oregon 5/29/2024
B
California 5/29/2024
IA
Texas 1/7/2025
B
Idaho 5/29/2024
B
Wyoming 5/29/2024
B
Nevada 5/29/2024
SRO Registrations
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IA
Registered with this firm since 12/1/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/28/2022 - 11/30/2023 | SANTA BARBARA, CA | |
IA | 05/09/2017 - 11/01/2022 | SANTA BARBARA, CA | |
B | 05/09/2017 - 11/01/2022 | SANTA BARBARA, CA | |
B | 11/09/2005 - 05/17/2017 | SANTA BARBARA, CA | |
IA | 04/07/2015 - 05/09/2017 | SANTA BARBARA, CA | |
IA | 11/09/2005 - 09/07/2016 | SANTA BARBARA, CA | |
IA | 05/15/2001 - 11/14/2005 | SANTA BARBARA, CA | |
B | 05/02/2001 - 11/14/2005 | SAN FRANCISCO, CA | |
B | 03/01/2000 - 05/02/2001 | SAN FRANCISCO, CA | |
B | 07/12/1999 - 07/26/2000 | BOSTON, MA | |
B | 01/21/1993 - 07/12/1999 | OAKLAND, CA | |
B | 04/14/1989 - 06/29/1992 | GLENDALE, CA | |
B | 09/22/1987 - 04/11/1989 |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.