Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kris? Claim Your ProfileKris Lloyd is a financial professional with over 40 years of experience in the industry. Kris is a Registered Representative and Investment Advisor Representative, currently registered with Calton & Associates, Inc. in Marble Falls, Texas. Before joining Calton & Associates, Inc., Kris worked with Dominion Investor Services, Inc. in Houston, Texas. Kris holds several licenses and certifications, including Series 7, Series 63, Series 15, Series 24, SIE and Series 99TO. Kris specializes in providing financial planning and portfolio management services for individuals, businesses, and pension and profit-sharing plans.
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
06/29/2023 - Present
Calton & Associates, Inc. (Marble Falls TX)
TX
01/02/2004 - 07/21/2023
DOMINION INVESTOR SERVICES, INC. (HOUSTON TX)
CA
10/03/2000 - 12/31/2003
FIRST ALLIED SECURITIES, INC. (SAN DIEGO CA)
CO
03/01/1995 - 10/25/2000
D.E. FREY & COMPANY, INC. (DENVER CO)
TX
08/11/1986 - 03/03/1995
RAUSCHER PIERCE REFSNES, INC. (DALLAS TX)
NA
09/01/1977 - 12/22/1987
E. F. HUTTON & COMPANY INC
NA
02/04/1982 - 08/20/1986
PAINEWEBBER INCORPORATED
NA
02/10/1981 - 02/14/1982
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
IA
Issued 11/23/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/04/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/13/2001
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/23/1982
Series 15 - Foreign Currency Options Examination
BC
Issued 08/20/1977
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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