Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kim? Claim Your ProfileKim Caldwell is a financial advisor with LPL Financial LLC. Kim has been in the financial services industry since 1996. Kim has a series 63, 7, and SIE licenses and is also a Certified Financial Planner. Kim has experience working at several firms in the financial services industry. Kim's primary focus is providing investment advice to individuals and businesses, with a focus on insurance companies and charitable organizations. Kim also provides financial planning, pension consulting, and other non-discretionary advisory services.
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.
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.
Consulting and other non-discretionary advisory services
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
NY
02/06/2017 - Present
LPL Financial LLC (LAUREL NY)
NY
08/15/2005 - 09/08/2009
WATERSTONE FINANCIAL GROUP, INC. (MELVILLE NY)
CA
07/13/1998 - 08/15/2005
TOWER SQUARE SECURITIES, INC. (EL SEGUNDO CA)
NY
11/13/1997 - 03/18/1998
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
PA
12/12/1996 - 11/03/1997
CIGNA FINANCIAL ADVISORS,INC. (RADNOR PA)
NY
05/01/1996 - 12/02/1996
NATHAN & LEWIS SECURITIES, INC. (NEW YORK NY)
BC
Issued 05/20/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/29/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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