Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nolan? Claim Your ProfileNolan Caldwell has been in the financial industry since February 1987. Nolan is currently registered with Wells Fargo Clearing Services, LLC in Houston, Texas. Nolan is a Series 7, Series 10, Series 9, Series 31 and Series 63 licensed advisor, and is a licensed advisor in 13 states including Colorado, Florida, Illinois, Louisiana, Massachusetts, Michigan, Missouri, Montana, Nevada, Tennessee, Texas, Washington and Washington D.C. Nolan has been a registered representative with A. G. EDWARDS & SONS, INC., Lehman Brothers Inc., Shearson Lehman Hutton Inc., UNION PLANTERS INVESTMENT BANKERS GROUP, INC., DOVER GROUP, INC., Underwood, Neuhaus & Co., Incorporated and WESTCAP SECURITIES, INC. in the past.
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.
Investment consulting services to institutional clients
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.
1
2
TX
01/01/2008 - Present
Wells Fargo Clearing Services, LLC (HOUSTON TX)
TX
02/05/1991 - 01/03/2008
A. G. EDWARDS & SONS, INC. (HOUSTON TX)
NY
06/22/1989 - 02/27/1991
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
08/22/1988 - 06/20/1989
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
NA
01/24/1989 - 05/17/1989
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.
NA
12/10/1987 - 01/27/1988
DOVER GROUP, INC.
NA
08/27/1986 - 06/03/1987
UNDERWOOD, NEUHAUS & CO., INCORPORATED
NA
01/15/1986 - 08/20/1986
WESTCAP SECURITIES, INC.
BC
Issued 01/21/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/18/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/09/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/25/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 11/16/1985
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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