carlton wealth management, llc is a financial services firm that understands the complexities of wealth. the name calton is synonymous with professionalism, integrity, and commitment. regardless of the company’s reputation, you can feel confident that calton wealth management ltd is the right investment advisor for you. the calton name is well-known and is synonymous with excellence. when you hire a financial advisor, be sure to check whether the firm has earned its commission from a particular investment product. while it may be tempting to take the highest fee, you should consider their performance. because the firm is a broker-dealer, they may be subject to compensation-related conflicts of interest.
while calton & associates inc. is an independent financial adviser, the company is a separate entity. to become a registered investment adviser, you must own a minimum of 25% of the company’s shares. calton & associates is a registered broker-dealer. the benefits of using a broker-dealer are significant, but they do come at a price. while calton wealth management is a registered investment adviser, its services are not available to all investors. the company’s license is not necessary to be a broker-dealer, but it does need to be regulated by a state securities agency. you should also consider the company’s software. this software will allow you to review risk profiles and implement your financial plan.
this site is operated by a business or businesses owned by informa plc and all copyright resides with them. number 8860726. capital financial services, a small independent broker/dealer in minot, n.d., will shut down its b/d operations, and its some 100 reps will be absorbed by tampa, fla.-based calton & associates, a midsize ibd that has done similar asset purchases in the past. president dwayne calton confirmed his firm has filed with regulators to pursue an asset purchase of customer accounts at cfs that choose to come over. the deal is pending regulatory approval, but calton is not acquiring the broker/dealer, which has had some problematic reps. “when you have a lot of compliance baggage, that makes the broker/dealer unattractive,” said jonathan henschen, president of the recruiting firm henschen & associates in marine on st. croix, minn. “but they’re still interested in the reps and the assets.” advisors who choose to join calton will go through its standard review process to determine “whether or not they’re a good fit for us,” calton said. “between the reps that calton won’t bring on because of compliance issues and those that scatter, i don’t think there’s going to be a lot there,” henschen said.
he was sanctioned by both finra and the state of minnesota, where he did business. the securities and exchange commission recently obtained a court order to freeze assets controlled by sean kelly, who was registered with cfs from 2007 to 2010 and 2012 to 2017. kelly was allegedly running a fraud scheme where he raised at least $1 million from 12 investors, most of whom were elderly retirees, saying their assets would be invested in private placements and real estate funds. the u.s. attorney’s office for the northern district of georgia filed criminal charges against kelly and arrested him. this is not the first time calton has taken over stranded assets from a small firm that’s shuttering. “it’s getting harder and harder to survive as a smaller broker/dealer,” calton said. maybe the next time we hit a recession or some kind of road bump in the economy, you’ll see even more of them.
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