Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

CARLTON AND ASSOCIATES, INC.
20999
ZACHARY L. CAREY
3110546
CARLTON AND ASSOCIATES, INC.
20999
ZACHARY L. CAREY
3110546
CALTON + ASSOCIATES, INC.
20999
CAREY, ZACH
3110546
CALTON AND ASSOCIATES, INC.
20999
ZACHARY L. CAREY
3110546
CALTON + ASSOCIATES, INC.
20999
ZACH CAREY
3110546
CALTON AND ASSOCIATES
20999
ZACHARY CAREY
3110546
CALTON AND ASSOCIATES
20999
ZACHARY LEE CAREY
3110546
CALTON AND ASSOCIATES
20999
ZACHARY CAREY
3110546
CALTON AND ASSOCIATES
20999
ZACH CAREY
3110546
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2019-12-16
D/A
$1,890,422.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2019-11-04
D/A
$1,890,422.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2019-10-18
D/A
$1,890,422.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2019-10-07
D/A
$1,890,422.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2019-10-01
D/A
$1,890,422.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2019-09-11
D/A
$1,890,422.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2019-08-30
D/A
$1,890,422.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2019-08-20
D/A
$1,890,422.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2019-07-01
D/A
$1,890,422.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2019-06-24
D/A
$1,890,422.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2019-06-10
D/A
$1,890,422.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2019-05-28
D/A
$1,890,422.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2019-05-13
D/A
$1,890,422.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2018-10-09
D/A
$1,208,745.00
Yes
$0.00
No
IN ADDITION, THE ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2018-08-27
D/A
$1,208,745.00
Yes
$0.00
No
IN ADDITION, THE ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2018-08-15
D/A
$1,208,745.00
Yes
$0.00
No
IN ADDITION, THE ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2018-08-01
D/A
$1,208,745.00
Yes
$0.00
No
IN ADDITION, THE ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2018-07-23
D/A
$1,208,745.00
Yes
$0.00
No
IN ADDITION, THE ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2018-07-16
D/A
$1,208,745.00
Yes
$0.00
No
IN ADDITION, THE ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2018-07-02
D/A
$1,208,745.00
Yes
$0.00
No
IN ADDITION, THE ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2018-06-28
D
$1,208,745.00
Yes
$0.00
No
IN ADDITION, THE ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2018-01-05
D/A
$375,308.00
Yes
$0.00
No
IN ADDITION, THE ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2017-12-18
D/A
$375,308.00
Yes
$0.00
No
IN ADDITION, THE ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2017-02-01
D/A
$942,150.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2017-01-10
D/A
$942,150.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2017-01-03
D/A
$942,150.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2016-12-22
D/A
$942,150.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2016-12-19
D/A
$942,150.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2016-12-12
D/A
$942,150.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2016-12-05
D/A
$942,150.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2016-11-28
D/A
$440,089.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2016-11-28
D/A
$942,150.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2016-08-29
D/A
$440,089.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2016-08-15
D/A
$440,089.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2016-08-03
D/A
$440,089.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2014-01-09
D/A
$321,055.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2014-01-09
D/A
$481,150.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2013-12-30
D/A
$481,150.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2013-12-30
D/A
$321,055.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2013-12-23
D/A
$481,150.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2013-12-23
D/A
$321,055.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2013-12-02
D/A
$481,150.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2013-12-02
D/A
$321,055.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2013-11-19
D/A
$321,055.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2013-11-18
D/A
$481,150.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2013-11-13
D/A
$481,150.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2013-11-13
D/A
$321,055.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2010-07-28
D/A
$849,133.00
Yes
$0.00
No
2010-07-09
D/A
$849,133.00
Yes
$0.00
No
2010-06-25
D/A
$849,133.00
Yes
$0.00
No
2010-06-16
D/A
$849,133.00
Yes
$0.00
No
2010-03-23
D/A
$849,133.00
Yes
$0.00
No
2010-03-18
D/A
$849,133.00
Yes
$0.00
No
2010-03-09
D/A
$849,133.00
Yes
$0.00
No
2010-02-23
D/A
$849,133.00
Yes
$0.00
No
2010-02-22
D/A
$849,133.00
Yes
$0.00
No
2010-02-08
D/A
$849,133.00
Yes
$0.00
No
2010-02-02
D/A
$849,133.00
Yes
$0.00
No
2010-01-29
D/A
$2,975,000.00
Yes
$0.00
No
2010-01-12
D/A
$849,133.00
Yes
$0.00
No
2009-12-30
D/A
$849,133.00
Yes
$0.00
No
2009-12-15
D/A
$849,133.00
Yes
$0.00
No
2009-08-04
D/A
$2,975,000.00
Yes
$0.00
No
2009-06-24
D/A
$70,000.00
Yes
$0.00
No
2009-06-01
D/A
$70,000.00
Yes
$0.00
No
2009-04-27
D/A
$70,000.00
Yes
$0.00
No
2009-04-16
D/A
$70,000.00
Yes
$0.00
No
2009-04-03
D/A
$2,975,000.00
No
$0.00
No
2009-01-14
D
$2,975,000.00
No
$0.00
No