Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Caves is a financial advisor with Fidelity Personal and Workplace Advisors. John has been in the financial industry since 1997. He is registered with the state of Indiana and Texas. John holds Series 6, 7, 10, 23, 24, 63 and 66 licenses. John's previous employers include Cetera Investment Services LLC, Thrivent Investment Management Inc. and Charles Schwab & Co., Inc. John is also a Certified Financial Planner.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
KY
01/25/2022 - Present
Fidelity Personal AND Workplace Advisors (COVINGTON KY)
IN
04/26/2017 - 01/27/2021
CETERA INVESTMENT SERVICES LLC (INDIANAPOLIS IN)
IN
12/23/2015 - 01/30/2017
THRIVENT INVESTMENT MANAGEMENT INC. (INDIANAPOLIS IN)
IN
01/27/1998 - 12/22/2015
CHARLES SCHWAB & CO., INC. (INDIANAPOLIS IN)
MN
06/09/1997 - 09/19/1997
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
06/09/1997 - 09/19/1997
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
NA
06/25/1987 - 08/05/1987
LAWSON FINANCIAL CORPORATION
NA
11/18/1985 - 06/24/1987
FIRST AMERICAN NATIONAL SECURITIES, INC.
BOTH
Issued 12/03/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/09/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 02/13/2006
Series 23 - General Securities Principal Sales Supervisor
BC
Issued 03/15/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/10/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/06/1997
Series 7 - General Securities Representative Examination
BC
Issued 11/14/1985
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
Not sure John Caves is the right advisor for you? Invested Better is here to help.
