Quincy CaldwellCRD 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.
The Goff Financial Group
Linscomb & Williams
Hill Investment Group
|Moeybea Wealth Management Dba Lone Star Financial||Katy, TX||Feb 2018 - Current||< 1|
|Quincy Caldwell||Katy, TX||Sep 2017 - Current||< 1|
|Financial Depot Llc; (dba) Financial Depot||Houston, TX||Jan 2015 - 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||Houston, TX||Jun 2011 - Current||6|
|Self Employed||Houston, TX||Aug 2010 - Current||7|
|Texas Infinite Wealth Planner||Houston, TX||Sep 2014 - Feb 2018||3|
|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|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Sep 2010|
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
Total Assets Under Management3,150MILLIONS
Total Number of Accounts57,400ACCOUNTS
Average Account Value$54,878
- 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)
- 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, VT, WA, WI, WV
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