Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Glenn? Claim Your ProfileGlenn Caldwell is a financial advisor with over 20 years of experience. Glenn is currently registered with Wells Fargo Clearing Services, LLC and has previously been registered with SunTrust Investment Services, Inc., TIAA-CREF Individual & Institutional Services, LLC, BANC of America Investment Services, Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Glenn has a strong background in financial planning and portfolio management, and has served a variety of clients, including individuals, families, businesses, and institutions. Glenn offers a range of investment services, including investment consulting, financial planning, and portfolio management.
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.
Investment consulting services to institutional clients
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
03/30/2016 - Present
Wells Fargo Clearing Services, LLC (TARPON SPRINGS FL)
VA
07/01/2011 - 05/18/2015
SUNTRUST INVESTMENT SERVICES, INC. (VIENNA VA)
MD
07/29/2009 - 04/01/2011
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (BETHESDA MD)
MD
11/04/2005 - 03/05/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (CHEVY CHASE MD)
NY
05/10/1995 - 11/13/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 10/26/2007
Series 66 - Uniform Combined State Law Examination
IA
Issued 06/14/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/18/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/09/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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