Anthony Charles Smith

Calton & Associates, INC.

31 Years of Experience

2 DisclosuresBrokerSells Insurance

View SEC Summary

Areas of Practice

Investment ManagementRetirement PlanningEstate PlanningEducation PlanningInsurance Planning

Calton & Associates, INC.

Compensation

Commission-BasedFee-Only (AUM)Fixed/Hourly

Firm Size

223 advisors

Number of Clients

6,062 clients

Average Client Portfolio

$201K average

Assets Under Management

$1.2B

Fee Structure

Minimum Investment:$50K

Location

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

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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 Report How 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

Calton & Associates, INC.Broker

February 2015 - Present · 11 yrs

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

Exams

No exam information available for this advisor.