Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames William Caldwell is a financial professional with over 25 years of experience in the financial services industry. James is currently registered with Fidelity Brokerage Services LLC and is licensed to provide financial advice in all 50 states, as well as Puerto Rico and the Virgin Islands. James began his career with KEOGLER, MORGAN & COMPANY, INC. in Atlanta, Georgia. James Caldwell is a well-rounded advisor who holds a Series 7, Series 9, Series 10, Series 63 and Series 65 license. James is dedicated to providing high-quality financial advice to clients.
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.
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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TX
08/24/1998 - Present
Fidelity Brokerage Services LLC (WESTLAKE TX)
GA
09/20/1990 - 11/12/1992
KEOGLER, MORGAN & COMPANY, INC. (ATLANTA GA)
BC
Issued 09/04/1998
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 06/01/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/08/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/06/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/21/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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