David Coffee is a registered investment advisor at Calton & Associates, INC., based in Houston, TX, with 28 years of industry experience. Their practice areas include Education Planning, Estate Planning, Insurance Planning, Investment Management, and 1 more. Their firm serves 5,283 clients with $1.6B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Calton charges a percentage of your portfolio for investment management, up to 2.60% annually. This fee may be negotiable. The exact fee depends on the representative managing your account and the program you select. You may also incur additional fees from third-party money managers. Calton bills quarterly, either in advance or arrears. You can terminate the agreement with 30 days' notice, and any unearned fees will be refunded. Some clients may be charged performance-based fees.
Location
13111 Westheimer Rd., Suite 475, Houston, TX, 77077
Get directionsHistory
Regulatory History (3)
Financial
November 2017Judgment / Lien
March 2007Customer Dispute
November 2004Other Business Activities
David is an Investment Advisor Representative (IAR) at Westpark Wealth Advisors since 2014, assisting clients in managing accounts. This takes a few hours per week, with minimal time spent during securities trading hours.
Employment History
Current Registrations
Calton & Associates, INC.
Calton & Associates, INC.Broker
Westpark Wealth Advisors, INC.
Previous Registrations
Ims Securities, INC.Broker
Sunbelt Securities, INC.Broker
Ffm Advisor Group LLC
Fox Financial Management CorporationBroker
First Financial Equity CorporationBroker
First Financial Equity Corporation
Banc of America Investment Services, INC.
Banc of America Investment Services, INC.Broker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations4 states
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.