James CaldwellCRD 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.
Capital City Wealth Management, Inc.
Northwestern Mutual Investment Services,llc
Investment Centers Of America, Inc.
|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|
Total Assets Under Management13,433MILLIONS
Total Number of Accounts92,356ACCOUNTS
Average Account Value$145,443
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- 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
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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