Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Caldwell is an investment advisor representative with LPL Financial LLC in GREENBRAE, CA. Scott has been in the financial services industry for 30 years. Scott has passed both the Series 66 and Series 24 exams. Scott has a background in both broker-dealer and investment advisory services. Prior to joining LPL Financial LLC, Scott worked for Liberty Securities Corporation and Cal Fed Investments. Scott is currently registered with LPL Financial LLC in California and Texas and has previously been registered in Idaho, Maryland, Oregon, Pennsylvania, and Texas. In addition to his work at LPL Financial LLC, Scott is also involved in Caldwell Financial Services, a non-variable insurance DBA, and Sweetwater Farm LP.
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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CA
06/27/2018 - Present
LPL Financial LLC (GREENBRAE CA)
NY
07/16/1999 - 09/18/2000
LIBERTY SECURITIES CORPORATION (PURCHASE NY)
CA
08/19/1992 - 07/07/1999
CAL FED INVESTMENTS (SACRAMENTO CA)
CA
04/24/1992 - 08/20/1992
AMERICAN INVESTORS COMPANY (SAN RAMON CA)
BOTH
Issued 03/07/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/24/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/03/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/09/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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