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Kimberly Ann Caldwell

Allworth Financial, LP

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About Kimberly Ann Caldwell

Kimberly Caldwell is a Registered Representative associated with Allworth Financial, LP. Kimberly has over 17 years of experience in the financial services industry. Kimberly holds the Series 7, 11, and 66 licenses. Kimberly specializes in Portfolio Management for Individuals, Portfolio Management for Businesses, Financial Planning, Pension Consulting and Selection of Other Advisers.

Firm Information

Kimberly Caldwell is currently registered with Allworth Financial, LP. Allworth Financial, LP is an investment advisory firm based in Folsom, CA. The firm offers a range of financial planning and portfolio management services to individuals, businesses, and retirement plans. Allworth Financial, LP manages over $19 billion in assets for clients, including high-net-worth individuals, corporations, pension plans, and charitable organizations.
Allworth Financial, LP

340 PALLADIO PKWY.

FOLSOM, CA 95630

$19.31B

Assets Under Management

Not reported

Total Clients

231

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Kimberly Caldwell’s Registration & Firm History

NJ

10/02/2024 - Present

Allworth Financial, LP (MANASQUAN NJ)

NJ

04/04/2007 - 12/22/2020

GEORGE MCKELVEY CO., INC. (Manasquan NJ)

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Licenses & Designations

BOTH

Issued 05/21/2007

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/09/2007

Series 7 - General Securities Representative Examination

BC

Issued 07/20/2006

Series 11 - Assistant Representative-Order Processing Qualification Exam

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Kimberly Ann Caldwell.
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