CRD #20999 · FINRA BrokerCheck + SEC IAPD

Calton & Associates, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Calton & Associates, Inc. ranks #316 of 20,055 by disclosure count (most disclosures first). Among firms registered in FL, it ranks #11 of 251 on the same disclosure sort used on the state browse page. Calton & Associates, Inc. carries 19 BrokerCheck disclosures across 205 branch offices - light load for a large firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
205
branch offices
19
disclosures
#316 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 20999 Calton & Associates, Inc.

Calton & Associates, Inc. · Grade B · 19 disc · 0.09/office · Large firm

  • CRD 20999
  • GRADE B
  • DISC 19
  • REG 13
  • ARB 6
  • CIV 0
  • BRANCH 205
  • PER-OFF 0.09
  • RANK #316 of 20,055
  • BOOK Large firm

Intensity peers

Nearest same-size peer: Momentum Independent Network Inc. (0.10 disc/office)

Momentum Independent Ne…0.10Voya Financial Advisors…0.10William Blair0.10Calton & Associates… (this)0.09
Disclosures per office among large firm peers (lower is cleaner)

Calton & Associates, Inc. ranks #316 of 20,055 by disclosure count among graded broker-dealers; light load at 0.09 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

205 offices

FINRA: Medium firm

Total disclosures

19 events

On FINRA BrokerCheck

Regulatory events

13 actions

68% of all disclosures

Disclosures per office

0.09 per office

19 ÷ 205 offices

Calton & Associates, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 88% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 13
Arbitrations 6
Civil Events 0
Total 19

Counts for Calton & Associates, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 13 Arbitration 6 Civil 0

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
Tampa, FL
CRD Number
20999

Lower disclosures per office

Calton & Associates, Inc. in the heavier-disclosure third

Calton & Associates, Inc. carries 19 BrokerCheck disclosures across 205 branch offices - a heavier-third raw book among graded firms (#316 of 20,055). Regulator-initiated events are 68% of the book (13 regulatory / 6 arbitration / 0 civil).

Calton & Associates, Inc. runs 0.09 disclosures per branch office (cleaner than 88% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Calton & Associates, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Florida cohort · 4.14× state average

Calton & Associates, Inc. sits above the Florida disclosure average

Calton & Associates, Inc. reports 19 BrokerCheck disclosures, 4.14× the Florida average of 4.6 across 251 graded firms with a principal-office state on file.

In Florida, 152 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Florida state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Calton & Associates, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Calton & Associates, Inc. ranks #316 of 20,055 by disclosure count (most disclosures first). Among firms registered in FL, it ranks #11 of 251 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Calton & Associates, Inc.?
A grade of B reflects Calton & Associates, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (large firm). It carries 19 total disclosures across 205 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Calton & Associates, Inc. have?
Calton & Associates, Inc. has 19 total FINRA disclosures, including 13 regulatory events, 6 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Calton & Associates, Inc.?
Calton & Associates, Inc. operates 205 branch offices and is classified by FINRA as a medium firm, registered in FL (Large firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Calton & Associates, Inc.'s disciplinary record?
You can verify Calton & Associates, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 20999. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Calton & Associates, Inc.'s 19 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Calton & Associates, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Calton & Associates, Inc. carries 19 disclosures across 205 branch offices (about 0.09 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Calton & Associates, Inc., both outside FL so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.