Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Caldwell is a financial advisor with Northwestern Mutual Investment Services, LLC. Robert has been in the financial industry since 1991 and holds the Series 6, 7, 26, 63, and 66 licenses. Robert has been registered with the state of Texas since 2007. Robert's primary office is located in Addison, TX. Robert Caldwell is also a registered investment advisor representative in the state of Texas.
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.
Investment research; referrals to other advisers
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.
Referral fees
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2
TX
12/11/2007 - Present
Northwestern Mutual Investment Services, LLC (ADDISON TX)
WI
08/31/1999 - 01/01/2002
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
BOTH
Issued 09/01/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/15/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/22/2005
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/25/2004
Series 7 - General Securities Representative Examination
BC
Issued 11/27/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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