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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Edward? Claim Your ProfileEdward Caulfield is an active investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. with 38 years of experience in the financial services industry. He has Series 7, Series 6, Series 63, and Series 65 licenses. Edward Caulfield has a state exam taken date of 1994-08-26 for Series 65 and a state exam taken date of 1983-04-18 for Series 63. Edward Caulfield has been a registered representative of Merrill Lynch, Pierce, Fenner & Smith Inc. since 1988. Edward Caulfield has been registered as an investment advisor representative in Florida since 1988.
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
FL
11/26/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ROCKLEDGE FL)
NA
04/09/1984 - 12/23/1987
J.C. BRADFORD & CO.
NA
04/19/1983 - 06/03/1983
IDS MARKETING CORPORATION
IA
Issued 08/26/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/18/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/17/1984
Series 7 - General Securities Representative Examination
BC
Issued 04/18/1983
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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