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Cressida Jemima Caldwell

Barclays Capital Inc.

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About Cressida Jemima Caldwell

Cressida Caldwell is a Financial Advisor with Barclays Capital Inc. with over 20 years of experience in the securities industry. Cressida has held several positions in the financial industry, including a previous role at Dresdner Kleinwort Securities LLC. Cressida is licensed to sell securities in multiple states. Cressida has passed the Securities Industry Essentials Examination (SIE), the NYSE Supervisory Analyst Examination (Series 16), and the Limited Registered Representative Examination (Series 17). Cressida is dedicated to providing clients with personalized financial advice and investment strategies tailored to their individual needs.

Firm Information

Cressida Caldwell is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Cressida Caldwell’s Registration & Firm History

NY

11/30/2009 - Present

Barclays Capital Inc. (NEW YORK NY)

NY

09/07/2001 - 11/13/2009

DRESDNER KLEINWORT SECURITIES LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/03/2003

Series 16 - NYSE Supervisory Analyst Examination

BC

Issued 02/09/2001

Series 17 - Limited Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Cressida Jemima Caldwell.
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