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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Bradley? Claim Your ProfileBradley Caldwell is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Bradley Caldwell is active in the investment advisor and broker-dealer industries and has been working in these industries for over 11 years. Bradley Caldwell holds the Series 6, Series 7, Series 63 and Series 66 licenses and is currently registered with FINRA. Bradley Caldwell is registered to provide investment advisory services in 53 states, including California, Texas, Arizona, Florida and New York. Bradley Caldwell is also registered to provide broker-dealer services in 53 states, including California, Texas, Arizona, Florida and New York. Bradley Caldwell's firm is Merrill Lynch, Pierce, Fenner & Smith Inc. which has over $1 trillion in assets under management. Bradley Caldwell provides advisory services to a variety of clients, including high-net-worth individuals, corporations, insurance companies, charitable organizations, pension and profit-sharing plans, state or municipal government entities, and banking or thrift institutions. Bradley Caldwell has a variety of experience, and is able to serve clients with a wide range of financial needs.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
AZ
12/14/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (Chandler AZ)
CA
08/18/2014 - 12/31/2017
PFS INVESTMENTS INC. (TUSTIN CA)
BOTH
Issued 12/07/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/26/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/16/2019
Series 7TO - General Securities Representative Examination
BC
Issued 12/31/2017
SIE - Securities Industry Essentials Examination
BC
Issued 08/18/2014
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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