Quincy Caldwell, financial advisor Katy TX
56 score

Quincy Caldwell

CRD Number: 5583424
Current Firm: Planmember Securities Corporation

Quincy Caldwell (CRD# 5583424) is an Investment Advisor Representative working at Planmember Securities Corporation in Katy, TX and has over 7 years of experience in the finance industry.

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Company Name Location Dates Years
Financial Depot Llc; (dba) Financial Depot Katy, TX Jan 2015 - Current 2
Texas Infinite Wealth Planner Houston, TX Sep 2014 - Current 3
Planmember Securities Corporation Carpinteria, CA Oct 2013 - Current 4
100 Black Men Of Metro Houston Bellaire, TX Sep 2013 - Current 4
Quincy Caldwell - Self Employed Katy, TX Jun 2011 - Current 6
Self Employed Katy, TX Aug 2010 - Current 7
Caldwell Financial Katy, TX Sep 2014 - Jan 2015 < 1
Advisor Depot Katy, TX Sep 2014 - Jan 2015 < 1
Veritrust Financial , LLC Austin, TX Apr 2013 - Oct 2013 < 1
Ridgeway & Conger, Inc. New Woodstock, NY Nov 2011 - Jun 2013 1
Ridgeway Conger Advisory Services New Woodstock, NY Nov 2011 - Jun 2013 1
Veritrust Financial, LLC Austin, TX Mar 2011 - Sep 2011 < 1
Ims Financial Advisors, Inc. Houston, TX Sep 2010 - Mar 2011 < 1
Ims Securities, Inc. Houston, TX Jan 2010 - Mar 2011 1
Investors Partnership Houston, TX Jan 2009 - Jun 2010 1
Tpg Software Houston, TX Aug 2008 - Jan 2009 < 1
The Bank Of New York Mellon Houston, TX Feb 2007 - Aug 2008 1
The Quincy Group Houston, TX Jul 2003 - Feb 2007 3
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Sep 2010
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Employer Dispute
  • Judgments / Liens
Get Details on the FINRA Advisor Check site
Contact Info for Quincy D. Caldwell
Phone Number: 805-684-1199
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
    2,638
    MILLIONS
  • Total Number of Accounts
    49,000
    ACCOUNTS
  • Average Account Value
    $53,828
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
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)
  • Educational seminars/workshops
  • Other
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, VT, WA, WI, WV

Ready to hire a financial advisor? Get competitive proposals from Quincy Caldwell and other advisors.
BADGES
56

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Advisor profile scores displayed on this site are derived using the following criteria. Step 1: An advisor profile rating starts with a baseline score of 90 points. Step 2: The advisor score is increased from the baseline after screening for 3 criteria: years of experience, industry credentials and completeness of profile. Step 3: The advisor score is decreased after screening for publicly available disclosure events such as litigation or regulatory matters. Such decreases relate to the existence of a disclosure and, in most cases, do not account for timing, magnitude or severity of such disclosure. Many other factors are not considered in the scoring such as financial stability, fees, affiliations and educational background, and you should carefully consider these factors. The criteria are based on information Wealthminder deems helpful and available at the time of the scoring. Scores do not vary based on qualitative feedback from users. Advisor presentation and visibility and allocation of proposals will vary for advisors who pay a marketing plan program fee. Wealthminder does not recommend or provide any warranty or guarantee of the quality or suitability of any specific advisor or products or services offered by such advisor. Please consult regulatory sites for additional information about advisors’ background.