Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
CHRISTOPHER DANIEL WARD
CHRIS DANIEL WARD
CRD#: 6286438
IA
Investment Adviser
B
Broker
CALTON & ASSOCIATES, INC.CRD#: 20999 269 Ann Street
Suite C
Pickens, SC 29671
Registration History
201520162017201820192020202120222023202420252026IACALTON & ASSOCIATES, INC. (CRD# 20999)2024 - Present (<1 year)BCALTON & ASSOCIATES, INC. (CRD# 20999)2023 - Present (1 year)BDOMINION INVESTOR SERVICES, INC. (CRD# 21548)2020 - 2023 (3 years)BLINCOLN FINANCIAL SECURITIES C... (CRD# 3870)2015 - 2019 (4 years)BROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131)2015 - 2015 (<1 year)
License(s)

State Registrations

B
Florida 10/6/2023
B
South Carolina 6/29/2023
B
North Carolina 6/29/2023
IA
South Carolina 9/6/2024

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)
269 Ann Street Suite C, Pickens, SC 29671
Registered with this firm since 9/6/2024
B
CALTON & ASSOCIATES, INC. (CRD#:20999)
269 Ann Street Suite C, Pickens, SC 29671
Registered with this firm since 6/29/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 01/21/2020 - 07/21/2023 DOMINION INVESTOR SERVICES, INC. (CRD#:21548) PICKENS, SC
B
 05/28/2015 - 08/06/2019 LINCOLN FINANCIAL SECURITIES CORPORATION (CRD#:3870) PICKENS, SC
B
 02/05/2015 - 05/05/2015 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) PICKENS, SC
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.