Mcfaddin Moise, financial advisor Cape Coral FL
64 score

Mcfaddin Moise

CRD Number: 1086873
Current Firm: Calton & Associates, Inc.

Mcfaddin Moise (CRD# 1086873) is an Investment Advisor Representative working at Calton & Associates, Inc. in Cape Coral, FL and has over 29 years of experience in the finance industry. Mcfaddin Moise has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Calton & Associates, Inc. Cape Coral, FL Jan 2017 - Current 1
Moise Advisory Group Fort Myers, FL Mar 2013 - Current 5
Principal Life Insurance Company Fort Myers, FL Dec 2013 - Dec 2016 3
Princor Financial Services Corporation Fort Myers, FL Dec 2013 - Dec 2016 3
Omni Financial Services Fort Myers, FL Jan 2011 - Dec 2013 2
Securian Financial Services St. Paul, MN Jan 2011 - Dec 2013 2
Minnesota Life Insurance Company St. Paul, MN Jan 2011 - Dec 2013 2
World Choice Securities Bedford, TX Jul 2009 - Dec 2010 1
First Allied Advisory Services, Inc. Ft. Myers, FL May 2006 - Jul 2009 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 1988
S66 NASAA Uniform Combined State Law Examination Nov 2011
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Regulatory Event
  • Judgments / Liens
Get Details on the FINRA Advisor Check site
Contact Info for Mcfaddin Moise
Phone Number: 813-264-0440
Registered State(s):
  • FL
By the Numbers
  • Total Assets Under Management
    940
    MILLIONS
  • Total Number of Accounts
    5,518
    ACCOUNTS
  • Average Account Value
    $170,352
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
64

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