Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Douglas Phelan is a financial advisor registered with Calton & Associates, Inc. James has been in the financial industry since August 13, 1968. Previously, James was associated with IMS Securities, Inc., SunAmerica Securities, Inc., Anchor National Financial Services, Inc., Hartford Equity Sales Company Inc., American United Life Insurance Company, Consolidated Programs, Inc. and Lincoln Equities Corporation. James is registered with FINRA and is a registered investment advisor in the states of California, Colorado, Connecticut, Georgia, Hawaii, Kansas, Pennsylvania, and Texas. James specializes in providing financial planning, pension consulting, selection of other advisors, portfolio management for businesses and portfolio management for individuals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
TX
11/09/2017 - Present
Calton & Associates, Inc. (Austin TX)
TX
03/27/2003 - 11/09/2017
IMS SECURITIES, INC. (AUSTIN TX)
AZ
05/19/1992 - 03/28/2003
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
NA
03/25/1974 - 05/19/1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
NA
08/26/1975 - 08/31/1988
HARTFORD EQUITY SALES COMPANY INC.
NA
09/22/1976 - 09/08/1981
AMERICAN UNITED LIFE INSURANCE COMPANY
NA
08/14/1968 - 05/30/1974
CONSOLIDATED PROGRAMS, INC.
NA
12/01/1973 - 05/11/1974
LINCOLN EQUITIES CORPORATION
BC
Issued 11/12/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/15/2000
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 01/02/2023
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/07/1968
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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