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Richard Lynn Havard

Investment Adviser Representative at CALTON & ASSOCIATES, INC.

Prosper, TXCRD #2070672Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
33 yrs
States Registered
9 states
Exams Passed
7

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Richard Lynn Havard has worked in the securities industry since 1993. They are registered to provide investment advisory services in 9 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 9 states
ArizonaColoradoFloridaIowaNew MexicoNew YorkNorth CarolinaSouth CarolinaTexas
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 9/30/1998
Series 63
Uniform Securities Agent State Law Examination
Passed 3/15/1994
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 3/3/1994
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 7/25/1990
Series 24
General Securities Principal Examination
Passed 2/11/2008

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Blended rate
0.026
Account minimum: $50,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Calton & Associates, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

CALTON & ASSOCIATES, INC.Current
10/25/2023Prosper, TX
CALTON & ASSOCIATES, INC.Current
6/23/2023Prosper, TX
GQO INVESTMENT ADVISORS, INC.
3/26/202210/24/2023Prosper, TX
DOMINION PORTFOLIO MANAGEMENT, INC.
12/1/20174/1/2020Prosper, TX
INVEST FINANCIAL CORPORATION
11/7/200710/23/2017Prosper, TX
SECURITIES AMERICA ADVISORS, INC.
4/29/200211/8/2007Frisco, TX

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Richard Lynn Havard has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Richard Lynn Havard - Financial Advisor in Prosper, TX | AdvisorFinder