Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Robert Caldwell is a financial advisor with over 10 years of experience in the industry. James is currently registered with BFC Planning, Inc. in Cedar Rapids, IA. James also holds Series 66, Series 7 and SIE licenses. James previously worked at Securities America, Inc. in Bismarck, ND and at Curian Clearing, LLC in Denver, CO.
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.
Helps you choose top advisors aligned with your financial goals.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Solicitor fee
1
2
IA
02/11/2019 - Present
BFC Planning, Inc. (CEDAR RAPIDS IA)
ND
09/04/2015 - 02/07/2019
SECURITIES AMERICA, INC. (BISMARCK ND)
CO
07/22/2011 - 09/15/2015
CURIAN CLEARING, LLC (DENVER CO)
CO
12/15/2008 - 07/05/2011
TRANSAMERICA CAPITAL, INC. (DENVER CO)
FL
10/20/2008 - 11/07/2008
NATIONAL PLANNING CORPORATION (THE VILLAGES FL)
BOTH
Issued 09/04/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/17/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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