Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Billy? Claim Your ProfileBilly Ray Caldwell is a financial advisor with Caldwell Advisors, LLC. Billy has been in the financial industry for over 30 years and is registered with the state of Tennessee and Texas. Billy Ray Caldwell offers a range of financial services, including financial planning, pension consulting, selection of other advisors, portfolio management for businesses and individuals. Prior to joining Caldwell Advisors, LLC, Billy Ray Caldwell worked at Cambridge Way, Inc., Wachovia Securities, LLC, Prudential Securities Incorporated, and J.C. Bradford & Co.
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.
A percentage of the total value of assets under management is charged.
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2
TN
07/08/2013 - Present
Caldwell Advisors, LLC (BRENTWOOD TN)
TN
12/10/2004 - 05/13/2009
CAMBRIDGE WAY, INC. (BRENTWOOD TN)
MO
07/01/2003 - 12/14/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
08/01/2000 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
12/18/1991 - 07/31/2000
J.C. BRADFORD & CO. (NEW YORK NY)
IA
Issued 12/10/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/19/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/19/2007
Series 4 - Registered Options Principal Examination
BC
Issued 03/29/2007
Series 27 - Financial and Operations Principal Examination
BC
Issued 02/27/2007
Series 53 - Municipal Securities Principal Examination
BC
Issued 02/14/2007
Series 24 - General Securities Principal Examination
BC
Issued 04/06/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/05/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/07/2002
Series 3 - National Commodity Futures Examination
BC
Issued 12/17/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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