James Caldwell, financial advisor Bismarck ND
90 score

James Caldwell

CRD Number: 5276864
Current Firm: Securities America Advisors, Inc.

James Caldwell (CRD# 5276864) is an Investment Advisor Representative working at Securities America Advisors, Inc. in Bismarck, ND and has over 4 years of experience in the finance industry.

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Company Name Location Dates Years
Securities America Inc. Bismarck, ND Sep 2015 - Current 1
Securities America Advisors Bismarck, ND Sep 2015 - Current 1
Curian Capital, LLC Denver, CO Feb 2012 - Sep 2015 3
Curian Clearing LLC Denver, CO Jul 2011 - Sep 2015 4
Curian Capital, LLC Denver, CO Jul 2011 - Feb 2012 < 1
Transamerica Capital Inc. Denver, CO Dec 2008 - Jul 2011 2
National Planning Corporation The Villages, FL Jul 2008 - Dec 2008 < 1
Depauw University Greencastle, IN Aug 2004 - May 2008 3
Amtrust Investment Services Boca Raton, FL Jun 2007 - Aug 2007 < 1
Dogertown Vero Beach, FL Jun 2006 - Sep 2006 < 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Sep 2012
Contact Info for James R. Caldwell
Phone Number: 402-399-9111
Registered State(s):
  • ND
  • TX
By the Numbers
  • Total Assets Under Management
    13,433
    MILLIONS
  • Total Number of Accounts
    92,356
    ACCOUNTS
  • Average Account Value
    $145,443
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
90
Clean Record
This advisor has a clean track record with regulators.

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