Calton & Associates, Inc.

Calton & Associates, Inc. is a nationwide Independent broker-dealer and investment advisory firm. Our focus on Independence is a key reason why Calton is the clear firm of choice for clients seeking the industry's premier financial professionals. Now in our 28th year of providing excellent tools and support, we offer one of the widest selections of products and services available from over 300 mutual fund, insurance, and alternative product companies.  We welcome you to explore some of the educational resources available on this site. Most importantly, please remember that our growing team of associates is always available to provide valuable one-on-one consultations.

This system replaces RegEd as the firm’s Compliance tool as of 4/6/2015. This is where you will complete your Annual Compliance Meeting, Annual Compliance Questionnaire, and Firm Element Continuing Education.  It is also where you are required to report the following items: Outside Business Activities, Private Securities Transactions, Social Media Usage, Political Contributions, Gifts & Entertainments, and Personal Securities Transactions.

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