Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Deborah? Claim Your ProfileDeborah Caldwell is a financial advisor with over 20 years of experience in the industry. Deborah has held positions with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Foreside Distribution Services, L.P., and HSBC Securities (USA) Inc. Currently, Deborah is registered with J.p. Morgan Securities LLC in Ohio and Michigan. Deborah holds several licenses and certifications, including the Series 66, Series 7, and Series 24 licenses. Deborah Caldwell is a dedicated financial advisor who is committed to helping her clients achieve their financial goals.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
NJ
10/27/2020 - Present
J.p. Morgan Securities LLC (Jersey City NJ)
NY
07/13/2011 - 10/14/2015
HSBC SECURITIES (USA) INC. (New York NY)
OH
01/09/2004 - 07/06/2011
FORESIDE DISTRIBUTION SERVICES, L.P. (GAHANNA OH)
NY
01/13/2003 - 11/19/2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 02/05/2013
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 01/25/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/04/2015
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/11/2003
Series 7 - General Securities Representative Examination
Active
Inactive
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
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