John Caldwell, financial advisor San Francisco CA

John Caldwell

CRD Number: 2251240
Current Firm: Cibc Private Wealth Advisors, Inc.

John Caldwell (CRD# 2251240) is an Investment Advisor Representative working at Cibc Private Wealth Advisors, Inc. in San Francisco, CA and has over 30 years of experience in the finance industry. John Caldwell has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Cibc Private Wealth Advisors, Inc. New York, NY Nov 2017 - Current 4
At Investment Advisers Inc. New York, NY Jan 2014 - Oct 2017 3
Stein Roe Investment Counsel, Inc. San Francisco, CA Sep 2004 - Dec 2013 9
Invesco Distributors, Inc. Houston, TX Sep 2004 - Dec 2013 9
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 1992
Contact Info for John B. Caldwell
Phone Number: 312-368-7700
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    73,775
    MILLIONS
  • Total Number of Accounts
    31,292
    ACCOUNTS
  • Average Account Value
    $2,357,646
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Performance-based fees
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies (as well as "business development companies")
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
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, WY

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