Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Todd? Claim Your ProfileTodd Caldwell is a financial professional with over 20 years of experience in the financial services industry. Currently, Todd is a registered representative of Charles Schwab & CO., Inc. and is located in the Portland, OR branch office. Todd is registered with the state of Oregon as a both a Broker and an Investment Advisor Representative and is also registered with the state of Texas as an Investment Advisor Representative. Previously Todd worked as a financial professional for several firms including GNA Securities, Inc., Great Western Financial Securities Corporation, BA Investment Services, Inc., and Key Investments Inc. Todd's experience and certifications include the Series 6, 7, 9, 10, 63, and 65 licenses as well as the SIE license. In addition, Todd is a Certified Financial Planner.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
OR
01/02/2019 - Present
Charles Schwab & CO., Inc. (Portland OR)
OH
01/11/1999 - 04/02/1999
KEY INVESTMENTS INC. (CLEVELAND OH)
CA
07/02/1998 - 12/08/1998
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
CA
01/19/1994 - 01/08/1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION (NORTHRIDGE CA)
VA
06/17/1993 - 12/22/1993
GNA SECURITIES, INC. (GLEN ALLEN VA)
IA
Issued 09/04/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/28/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/02/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/14/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/24/1995
Series 7 - General Securities Representative Examination
BC
Issued 06/16/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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