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Gregory Robert Caldwell

Summit Global Investments, LLC

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About Gregory Robert Caldwell

Gregory Caldwell is an investment advisor representative with Summit Global Investments, LLC, based in Centennial, Colorado. Gregory has been in the financial services industry since June 2018. Gregory holds licenses in 14 states including California, Colorado, Florida, Illinois, Michigan, North Dakota, Ohio, Pennsylvania, South Dakota, Tennessee, Texas, Virginia, and Wisconsin. Gregory also holds Series 6, 63, and 65 licenses. Gregory provides financial planning, portfolio management for businesses, portfolio management for individuals, portfolio management for investment companies, and portfolio management for pooled investment vehicles.

Firm Information

Gregory Caldwell is currently registered with Summit Global Investments, LLC. Summit Global Investments, LLC is an investment advisor based in Bountiful, Utah. They provide financial planning, portfolio management for individuals, businesses, investment companies, and pooled investment vehicles. The firm also offers analytical services and manages approximately $2 billion in assets for over 6,100 clients.
Summit Global Investments, LLC

620 SOUTH MAIN STREET

BOUNTIFUL, UT 84010

$2.03B

Assets Under Management

Not reported

Total Clients

86

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

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analytical services.

Analytical services.

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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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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Gregory Caldwell’s Registration & Firm History

CO

10/26/2023 - Present

Summit Global Investments, LLC (Centennial CO)

CO

06/18/2018 - 09/22/2023

TRANSAMERICA FINANCIAL ADVISORS, INC (GREENWOOD VILLAGE CO)

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Licenses & Designations

IA

Issued 10/25/2023

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/13/2020

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/18/2018

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Gregory Robert Caldwell.
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