Norman Caldwell, financial advisor Fort Lauderdale FL
93 score

Norman Caldwell

CRD Number: 4449086
Current Firm: Gupta Wealth Management, LLC

Norman Caldwell (CRD# 4449086) is an Investment Advisor Representative working at Gupta Wealth Management, LLC in Fort Lauderdale, FL and has over 15 years of experience in the finance industry.

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Company Name Location Dates Years
Gupta Wealth Management, LLC San Diego, CA Dec 2014 - Current 2
Citrus Consulting Inc. Fort Lauderdale, FL Sep 2006 - Current 10
Global Financial Private Capital Sarasota, FL Nov 2012 - May 2015 2
Hartwood Group San Diego, CA Jan 2003 - Aug 2006 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 2001
S65 NASAA Investment Advisors Law Examination Oct 2012
Contact Info for Norman C. Caldwell
Phone Number: (858)764-7120
Registered State(s):
  • CA
  • FL
By the Numbers
  • Total Assets Under Management
    1,059
    MILLIONS
  • Total Number of Accounts
    1,521
    ACCOUNTS
  • Average Account Value
    $696,088
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
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
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AZ, CA, FL, LA, MA, NH, NV, TX

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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