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Joseph Fields

Calton & Associates, INC.
21 Years of Experience
Matawan, NJ
4 DisclosuresBroker
View SEC Summary
View SEC Summary

Joseph Fields is a registered investment advisor at Calton & Associates, INC., based in Matawan, NJ, with 21 years of industry experience. Joseph 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

100 Matawan Rd, Ste 415, Matawan, NJ, 07747

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History

Regulatory History (4)
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.
Financial
May 2020
Final
Financial
May 2020
Final
Financial
April 2020
Final
Customer Dispute
January 2013
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Calton & Associates, INC.Broker
September 2025 - Present · 1 yr 1 mo
Calton & Associates, INC.
September 2025 - Present · 1 yr 1 mo
Previous Registrations
Star Wealth Advisors
June 2025 - September 2025 · 3 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
April 2015 - May 2024 · 9 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
April 2015 - May 2024 · 9 yrs 1 mo
VALIC Financial Advisors, INC.Broker
June 2013 - July 2014 · 1 yr 1 mo
VALIC Financial Advisors, INC.
June 2013 - July 2014 · 1 yr 1 mo
Metlife Securities INC.
December 2005 - June 2013 · 7 yrs 6 mos
Metlife Securities INC.Broker
December 2005 - June 2013 · 7 yrs 6 mos
Metropolitan Life Insurance CompanyBroker
December 2005 - July 2007 · 1 yr 7 mos
Citistreet Financial Services LLC
November 2004 - December 2005 · 1 yr 1 mo
Citistreet Equities LLCBroker
November 2004 - December 2005 · 1 yr 1 mo
UBS Financial Services INC.
March 2003 - May 2004 · 1 yr 2 mos
UBS Financial Services INC.Broker
February 2003 - May 2004 · 1 yr 3 mos
State Registrations3 states
FLNJNY
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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