Robert Kozlowski
Robert Kozlowski is a registered investment advisor at Calton & Associates, INC., based in Tempe, AZ, with 48 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
Tempe, AZ
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Regulatory History (1)
Employment Separation After Allegations
January 1985Other Business Activities
Robert works as a tour guide for Valor Tours, a military history tour company, since 2014. He dedicates minimal time to this non-investment related activity.
Employment History
Current Registrations
Calton & Associates, INC.
Calton & Associates, INC.
Calton & Associates, INC.Broker
Previous Registrations
Smith Barney Shearson INC.Broker
E. F. Hutton & Company INCBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith, INC.Broker
State Registrations13 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.