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Gary Graham

Calton & Associates, INC.
34 Years of Experience
Corona, CA
3 DisclosuresBroker
View SEC Summary
View SEC Summary

Gary Graham is a registered investment advisor at Calton & Associates, INC., based in Corona, CA, with 34 years of industry experience. Gary is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 5,283 clients with $1.6B in assets under management.

Calton & Associates, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
229 advisors
Number of Clients
5,283 clients
Average Client Portfolio
$298K average
Assets Under Management
$1.6B

Fee Structure

Minimum Investment:$50K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.60%

Fees are up to 2.60% and may be negotiable depending on the client, representative, and program selected.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Corona, CA

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
September 2017
Final
Regulatory
March 2016
Final
Customer Dispute
June 2002
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Gary works as a referral closer for Allegiance Gold LLC, facilitating the purchase of physical precious metals. This activity takes about 10-20% of his time and is compensated with commissions.

Employment History
Current Registrations
Calton & Associates, INC.
July 2015 - Present · 11 yrs 3 mos
Calton & Associates, INC.
July 2015 - Present · 11 yrs 3 mos
Calton & Associates, INC.Broker
July 2015 - Present · 11 yrs 3 mos
Previous Registrations
Wedbush Securities INC.
August 2011 - May 2015 · 3 yrs 9 mos
Wedbush Securities INC.Broker
August 2011 - May 2015 · 3 yrs 9 mos
Crowell, Weedon & CO.
April 2007 - August 2011 · 4 yrs 4 mos
Crowell, Weedon & CO.Broker
November 2004 - August 2011 · 6 yrs 9 mos
Wachovia Securities, LLCBroker
July 2003 - November 2004 · 1 yr 4 mos
Wachovia Securities, LLC
July 2003 - November 2004 · 1 yr 4 mos
Prudential Securities Incorporated
April 2001 - July 2003 · 2 yrs 3 mos
Prudential Securities IncorporatedBroker
March 2001 - July 2003 · 2 yrs 4 mos
A. G. Edwards & Sons, INC.Broker
January 1998 - April 2001 · 3 yrs 3 mos
Dean Witter Reynolds INC.Broker
August 1995 - January 1998 · 2 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 1992 - August 1995 · 3 yrs 3 mos
Dean Witter Reynolds INC.Broker
October 1991 - November 1991 · 1 mo
Dean Witter Reynolds INC.Broker
August 1991 - November 1991 · 3 mos
Waddell & Reed, INC.Broker
April 1991 - June 1991 · 2 mos
First Investors CorporationBroker
February 1991 - April 1991 · 2 mos
State Registrations1 state
CA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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