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Anthony Smith

Calton & Associates, INC.
32 Years of Experience
Tampa, FL
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Anthony Smith is a registered investment advisor at Calton & Associates, INC., based in Tampa, FL, with 32 years of industry experience. Anthony 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
226 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

2701 N Rocky Point Drive, Suite 1000, Tampa, FL, 33607

Get directions

History

Regulatory History (2)
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.
Customer Dispute
April 2021
Settled
Customer Dispute
October 2020
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Anthony owns Windward Wealth Management, LLC, providing investment advice and managing client accounts, which takes nearly full-time. He is also a partner in Windward Insurance & Tax Services, LLC, offering accident, life, health, annuities, home & auto insurance, and tax preparation, dedicating a few hours per week.

Employment History
Current Registrations
Calton & Associates, INC.
February 2015 - Present · 11 yrs 8 mos
Calton & Associates, INC.Broker
February 2015 - Present · 11 yrs 8 mos
Previous Registrations
Newport Coast Asset Management
October 2010 - February 2015 · 4 yrs 4 mos
Newport Coast Securities, INC.Broker
July 2008 - February 2015 · 6 yrs 7 mos
Berthel, Fisher & Company Financial Services, INC.Broker
March 2003 - July 2008 · 5 yrs 4 mos
Continental Capital Investment Services, INC.Broker
April 2000 - March 2003 · 2 yrs 11 mos
Prime Capital Services, INC.Broker
August 1999 - April 2000 · 8 mos
Brookstreet Securities CorporationBroker
February 1998 - September 1999 · 1 yr 7 mos
Mfi Investments CORP.Broker
January 1998 - March 1998 · 2 mos
Crispin Koehler SecuritiesBroker
July 1997 - February 1998 · 7 mos
John Hancock Distributors, INC.Broker
January 1997 - July 1997 · 6 mos
John Hancock Mutual Life Insurance CompanyBroker
January 1997 - May 1997 · 4 mos
Dean Witter Reynolds INC.Broker
July 1995 - December 1996 · 1 yr 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 1994 - July 1995 · 1 yr
State Registrations12 states
CACTFLGAHIINMTNCNYOKVAWA
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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