DC

David Scott Coffee

27 Years of Experience

Firm Information

Compensation
Commission-BasedFee-Only (AUM)Fixed/Hourly
Number of Advisors
223 advisors
Number of Clients
6,062 clients
Average Client Portfolio
$201K average
Assets Under Management
$1.2B

Fee Structure

Calton charges investment advisory fees for portfolio management services based on a percentage of assets in clients’ accounts, up to 2.60%. These fees may be negotiable. Financial planning services are offered for a flat fixed or hourly fee, also negotiable. Additional administrative fees of up to $40 per quarter may be charged in both wrap and non-wrap, investment advisory fee-based programs. Certain clients may be charged for portfolio investment performance by Calton under specific terms in the Investment Advisory Agreement, pursuant to a performance-based fee schedule.

Areas of Practice
Investment ManagementFinancial Planning & CoachingRetirement PlanningEducation PlanningEstate PlanningInsurance Planning
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Advisor Information

Office location

13111 Westheimer Rd., Suite 475, Houston, TX, 77077

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Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Financial
November 2017
Final
Judgment / Lien
March 2007
Customer Dispute
November 2004
Settled
Other Business Activities

David is an Investment Advisor Representative (IAR) at Westpark Wealth Advisors since 2014, assisting clients in managing accounts. This takes a few hours per week, with minimal time spent during securities trading hours.

Employment History
Current Registrations
Calton & Associates, INC.
January 2018 - Present · 8 yrs
Calton & Associates, INC. Broker
January 2018 - Present · 8 yrs
Westpark Wealth Advisors, INC.
March 2014 - Present · 11 yrs 10 mos
Previous Registrations
Ims Securities, INC.Broker
February 2014 - November 2017 · 3 yrs 9 mos
Sunbelt Securities, INC. Broker
August 2011 - February 2014 · 2 yrs 6 mos
Ffm Advisor Group LLC
July 2008 - November 2009 · 1 yr 4 mos
Fox Financial Management CorporationBroker
June 2008 - October 2011 · 3 yrs 4 mos
First Financial Equity CorporationBroker
March 2007 - July 2008 · 1 yr 4 mos
First Financial Equity Corporation
March 2007 - July 2008 · 1 yr 4 mos
Banc of America Investment Services, INC.
July 2004 - March 2007 · 2 yrs 8 mos
Banc of America Investment Services, INC.Broker
July 2004 - March 2007 · 2 yrs 8 mos
Citigroup Global Markets INC.
February 2001 - August 2004 · 3 yrs 6 mos
Citigroup Global Markets INC. Broker
February 2001 - August 2004 · 3 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker
December 1997 - April 2001 · 3 yrs 4 mos
State Registrations3 states
AZINTX
AdvisorBrokerBoth
Exams
No exam information available for this advisor.