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Scott Richard Caulfield

Franklin Distributors, LLC

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About Scott Richard Caulfield

Scott Caulfield is a financial advisor currently affiliated with Franklin Distributors, LLC. Scott has been in the financial services industry since February 15, 2017. Scott has a strong background in the industry, having previously worked at firms such as CHARLES SCHWAB & CO., INC., KELMOORE INVESTMENT COMPANY, INC., PRUDENTIAL SECURITIES INCORPORATED, SALOMON SMITH BARNEY INC., and DEAN WITTER REYNOLDS INC. Scott holds a variety of licenses and registrations including Series 7, Series 7TO, Series 63, Series 66, and Series 31.

Firm Information

Scott Caulfield is currently registered with Franklin Distributors, LLC. Franklin Distributors, LLC is a Limited Liability Company formed in December 2000. It is registered with the SEC and in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

369

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.

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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Scott Caulfield’s Registration & Firm History

FL

01/13/2022 - Present

Franklin Distributors, LLC (St. Petersburg FL)

CO

07/31/2006 - 12/31/2008

CHARLES SCHWAB & CO., INC. (ENGLEWOOD CO)

CA

10/09/2001 - 01/08/2002

KELMOORE INVESTMENT COMPANY, INC. (PALO ALTO CA)

NY

05/05/2000 - 05/25/2001

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NY

06/11/1999 - 03/10/2000

SALOMON SMITH BARNEY INC. (NEW YORK NY)

NY

09/21/1998 - 02/22/1999

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

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Licenses & Designations

BC

Issued 01/27/2022

Series 63 - Uniform Securities Agent State Law Examination

BOTH

Issued 12/07/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/13/2022

Series 7TO - General Securities Representative Examination

BC

Issued 10/11/2019

SIE - Securities Industry Essentials Examination

BC

Issued 07/28/2006

Series 7 - General Securities Representative Examination

BC

Issued 10/19/1998

Series 31 - Futures Managed Funds Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Scott Richard Caulfield.
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