TrueAdvisor
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NT
CFP
NT
CFP

Nicolas Toadvine

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

Nicolas Toadvine is a CFP-designated registered investment advisor at Calton & Associates, INC., based in Tampa, FL, with 26 years of industry experience. Nicolas 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 (12)
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
May 2014
Settled
Customer Dispute
May 2014
Settled
Customer Dispute
August 2013
Settled
Customer Dispute
May 2013
Settled
Customer Dispute
December 2012
Settled
Customer Dispute
October 2012
Settled
Customer Dispute
August 2012
Settled
Customer Dispute
April 2012
Denied
Customer Dispute
April 2012
Settled
Customer Dispute
December 2011
Settled
Customer Dispute
July 2011
Settled
Customer Dispute
January 2010
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Nicolas is an insurance agent selling fixed insurance, life, health, and fixed annuity products through Guardian Wealth Management and Amerity Financial, dedicating about 10-20% of his time to each. He also owns Guardian Wealth Management LLC, providing marketing and client services, which takes nearly full-time hours, and is involved in tax preparation, bookkeeping, teaching, and serving as a director for the YMCA.

Employment History
Current Registrations
Calton & Associates, INC.
June 2016 - Present · 10 yrs 4 mos
Calton & Associates, INC.Broker
May 2016 - Present · 10 yrs 5 mos
Previous Registrations
Calton & Associates, INC.
October 2013 - May 2016 · 2 yrs 7 mos
Calton & Associates, INC.Broker
September 2013 - May 2016 · 2 yrs 8 mos
Cabot Lodge Securities LLCBroker
December 2012 - October 2013 · 10 mos
Wall Foss Advisors, INC.
July 2012 - September 2013 · 1 yr 2 mos
Brookstone Investment Advisory Services
January 2012 - June 2012 · 5 mos
Brookstone Securities, INC.Broker
January 2012 - June 2012 · 5 mos
Investors Capital Advisory
June 2006 - December 2010 · 4 yrs 6 mos
Ingram Advisory Services, LLC
September 2004 - February 2012 · 7 yrs 5 mos
Investors Capital CORP.Broker
June 2002 - February 2012 · 9 yrs 8 mos
Allen & Company of Florida, INC.Broker
May 2001 - June 2002 · 1 yr 1 mo
Sigma Financial CorporationBroker
July 2000 - May 2001 · 10 mos
State Registrations4 states
FLMDSCTX
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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