Phone: 863.797.1225 Toll Free: 877.672.7949 Fax: 877.820.9176 Email: mike@dfgadvisory.com 4415 Florida National Drive., Suite 107 Lakeland, FL 33813 www.dfgadvisory.com

ADVISORY SERVICES NEW ACCOUNT SETUP

This packet contains the New Account Application necessary to set up an advisory account.

You will also need to provide client copies of:

� ADV Forms 2A (FIRM) and � 2B (IAR) � Privacy Policy Statement � Provider company disclosures � Solicitor agreement (if applicable)

Provide the following to DFG Advisory, LLC:

� New Account Application � Driver’s License / Government ID

� IAC � Electronic Delivery Agreement

Y N/A � � Copy of Check(s) payable to Custodian � � Provider company disclosures � Provider company application � � ACAT / 1035 paperwork � � Account Statements – rollover / transfer issues � � Current Ins Policies / Annuities being surrendered � � Trust document(s) � Corporate Resolution � Prototype

All new accounts must be faxed to the home office by close of business on date of application and signed by a Principal

Put all DFG / compliance documents first as listed, then provider company paperwork,. Fax to branch at 877-820-9176 and follow up with an email notification for trade blotter.

Calton Advisory Direct Business (01/2011) - 1 - .Calton & Associates Inc.

New Account Update

Advisory Services New Account Application

1. Account Registration. (Check One)

1. Individual 4. Roth IRA 7. Simple/SEP IRA 10. Pension/PSP1 2. Custodial (UTMA/UGMA) 5. Joint Tenants with Rights of Survivorship (Except LA Residents) 8. Corporate1 11. Trust1 3. Regular IRA 6. Joint Tenants in Common (50%/50%, unless otherwise noted, ____%/____%) 9. Partnership1 12. Estate1

13. Other:________

2. Account Title. Full Name of Applicant/Custodian (First, Middle, Last) /Business/Entity/Trust Social Security #/Tax ID # Date of Birth

Full Name of Joint Applicant/Custodian (First, Middle, Last) /Business/Entity/Trust Social Security #/Tax ID # Date of Birth

Home Address (P.O. Box unacceptable) City State/Province Country Zip

Mailing Address (P.O. Box acceptable if physical address provided above) City State/Province Country Zip

Home Phone Number Business Phone Number Fax Number Email Address

3. Verification of Identity.

IMPORTANT INFORMATION ABOUT OPENING A NEW ACCOUNT To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account.

What this means to you: When you open an account, we will require your name, address, date of birth and other information that will allow us to identify you. We may also ask to photocopy your driver’s license or other identifying documents. Identification Provided: For Individuals:

Driver’s License Passport/Visa Other: ________________________________________________________________________________

Issuer: _____________________________________ ID Number: _____________________________

Date of issuance (if applicable): ____________________ Date of Expiration: ____________________

For Joint Applicant (if applicable):

Driver’s License Passport/Visa Other: ________________________________________________________________________________

Issuer: _____________________________________ ID Number: _____________________________

Date of issuance (if applicable): ____________________ Date of Expiration: ____________________

For Entities:

Trust Agreement Articles of Incorporation Partnership Agreement Other: _________________________________________________ 4. Client Profile. Marital Status: Single Married Divorced Widowed Number of Dependents: ___ Citizenship Status: U.S. Citizen Resident Alien Non-Resident Alien (If a Non-Resident Alien you must provide a valid government-issued picture ID, presented prior to the opening of the account.) Employment Information: (Please specify if unemployed, retired, homemaker, or student. If self-employed, please specify industry.) Employer (If self-employed, please specify name of business.) Occupation Business Telephone

Employer’s Address City State/Province Country Zip Joint Applicant’s Employment Information: (Please specify if unemployed, retired, homemaker, or student. If self-employed, please specify industry.) Employer (If self-employed, please specify name of business.) Occupation Business Telephone

Widowed Number of Dependents: (not including self) ___

DFG Advisory, LLC.- 1 -

picture ID, prior to the opening of the account.)

Calton Advisory Direct Business (01/2011) - 3 - .Calton & Associates Inc.

5. Account Acknowledgement. (Please read and sign.)

Certification of Taxpayer ID Number:

Under penalties of perjury, I certify that (1) the number on this form is my correct taxpayer identification number (or I am waiting for a number to be issued to me), (2) I am not subject to backup withholding because (A) I am exempt from backup withholding, or (B) I have not been notified by the IRS that I am subject to backup withholding as a result of a failure to report all interest and dividends, or (C) the IRS has notified me that I am no longer subject to backup withholding or, if I am subject to backup withholding, I have crossed out the text section (2) in this paragraph, and (3) I am a U.S. person (including a U.S. resident alien). *The Internal Revenue Service does not require your consent to any provision of this document other than the certification required to avoid backup withholding. UNAUTHORIZED PROHIBITED ACTS -- You must take responsibility in preventing unauthorized acts within your control by adhering to all of the following: A. NEVER MAKE PAYMENT PAYABLE TO YOUR REPRESENTATIVE. B. PLEASE PAY FOR ALL ACCOUNT FUNDING BY UTILIZING A TRACEABLE INSTRUMENT. (I.E. PERSONAL CHECK, OR FED FUNDS WIRE). C. DO NOT LOAN TO YOUR REPRESENTATIVE OR BORROW FROM YOUR REPRESENTATIVE MONIES OR SECURITIES AND SPECIFICALLY DO NOT AUTHORIZE OR PERMIT REPRESENTATIVE TO ACT AS A PERSONAL CUSTODIAN OF YOUR SECURITIES, STOCKPOWERS, MONIES OR ANYOTHER PERSONAL OR REAL PROPERTY OF WHICH YOU MAY HAVE AN INTEREST. D. DO NOT ACCEPT A FEE REBATE OR ANY OTHER INDUCEMENT WITH RESPECT TO YOUR UTILIZATION OF OUR SERVICES. E. DO NOT AGREE TO ENTER INTO ANY OTHER BUSINESS RELATIONSHIP WITH REPRESENTATIVE INCLUDING, BUT NOT LIMITED TO HELPING TO CAPITALIZE OR FINANCE ANY BUSINESS OF REPRESENTATIVE.

and that I am aware that the information is relied on by Calton & Associates, If I experience a material change in circumstances, I will provide my registered representative with an updated New Account Application. ________________________________________ _________________________________________ Applicant’s Signature Date Applicant’s Signature (Joint) Date ________________________________________ _________________________________________ Applicant’s Printed Name Applicant’s Printed Name (Joint) ________________________________________ _________________________________________ Investment Advisor Representative’s Signature Date Investment Advisor Principal’s Signature Date ________________________________________ _________________________________________ Investment Advisor Representative’s Printed Name and Rep. Number Investment Advisor Principal’s Printed Name

Account was obtained through: Referral Advertising Seminar Other: _______________________ and that I am aware that the information is relied on by DFG Advisory, LLC

circumstances, I will provide my representative with an updated New Account Application.