Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn A. Caldwell is a financial advisor with J.P. Morgan Securities LLC. John has been in the industry since 1997 and has a broad range of experience. John has a Series 7, 63, 66, 10 and 9 licenses, and a SIE, 86, 87 and 16 certifications. John is registered to provide investment advice in Michigan and Texas. John has been associated with J.P. Morgan Securities LLC since March 2013. John is also associated with J.P. Morgan Chase Bank, NA since November 2016. John is also an employee of KMC Educational Services since October 2023. John specializes in Portfolio Management for Individuals and Businesses, Financial Planning and Pension Consulting.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
MI
04/29/2024 - Present
J.p. Morgan Securities LLC (Birmingham MI)
NJ
02/09/2007 - 04/06/2010
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
OH
05/03/2000 - 02/09/2007
MCDONALD INVESTMENTS INC. (CLEVELAND OH)
IL
11/19/1998 - 05/02/2000
WAYNE HUMMER INVESTMENTS L.L.C. (CHICAGO IL)
OH
09/12/1996 - 11/03/1998
MCDONALD & COMPANY SECURITIES, INC. (CLEVELAND OH)
IA
Issued 04/26/2024
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/26/2013
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 11/16/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/06/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/24/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/18/2013
Series 7 - General Securities Representative Examination
BC
Issued 11/02/2004
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 11/01/2004
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 08/17/1999
Series 16 - NYSE Supervisory Analyst Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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