Caldwell Securities, Incorporated

Caldwell Securities, Incorporated (CRD# 10489) is a financial advisory firm headquartered in Sausalito, CA. They manage $137,994,327 in 634 accounts and serve the financial needs of clients across 10 states (or territories).

Current Firm Details
30 Liberty Ship Way #3200, Sausalito, CA 94965
http://www.cald.com/
By the Numbers
  • Total Assets Under Management
    138
    MILLION
  • Total Number of Accounts
    634
    ACCOUNTS
  • Average Account Value
    $217,657
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
Types of Clients
Registered States
Advisors affiliated with a RIA are permitted to work with up to five clients in nearly-all states* without explicit registration. The map below shows states where this firm has explicit registration only.

AZ, CA, CO, IL, MI, NV, NY, OR, PA, TX

Financial Advisors at Caldwell Securities, Incorporated
Showing 1 - 6 of 6 top financial advisors.
1
Lovely Dizon, financial advisor Sausalito CA
Lovely M. Dizon
CRD#: 4971913
30 Liberty Ship Way #3200, Sausalito, CA 94965
93
Wealthminder
score

Lovely Dizon (CRD# 4971913) is an Investment Advisor Representative working at Caldwell Securities, Incorporated in Sausalito, CA and has over 11 years of experience in the finance industry.

2
John Helmer, financial advisor Alamo CA
John C. Helmer
CRD#: 242398
Alamo, CA
93
Wealthminder
score

John Helmer (CRD# 242398) is an Investment Advisor Representative working at Caldwell Securities, Incorporated in Alamo, CA and has over 6 years of experience in the finance industry.

3
Joseph Helmer, financial advisor Oakland CA
Joseph F. Helmer
CRD#: 1860949
Oakland, CA
93
Wealthminder
score

Joseph Helmer (CRD# 1860949) is an Investment Advisor Representative working at Caldwell Securities, Incorporated in Oakland, CA and has over 13 years of experience in the finance industry.

4
Justinian Hobor, financial advisor Chicago IL
Justinian R. Hobor
CRD#: 6396503
Chicago, IL
88
Wealthminder
score

Justinian Hobor (CRD# 6396503) is an Investment Advisor Representative working at Caldwell Securities, Incorporated in Chicago, IL and has over 2 years of experience in the finance industry.

5
Christopher Raffo, financial advisor Gustine CA
Christopher R. Raffo
CRD#: 1330799
Gustine, CA
81
Wealthminder
score

Christopher Raffo (CRD# 1330799) is an Investment Advisor Representative working at Caldwell Securities, Incorporated in Gustine, CA and has over 31 years of experience in the finance industry.

6
Richard Saso, financial advisor San Ramon CA
Richard A. Saso
CRD#: 1396228
3130 Crow Canyon Place #200, San Ramon, CA 94583
73
Wealthminder
score

Richard Saso (CRD# 1396228) is an Investment Advisor Representative working at Caldwell Securities, Incorporated in San Ramon, CA and has over 29 years of experience in the finance industry.

Our primary data source is public filings of Form ADV as published by the Securities and Exchange Commission (SEC) and made available in accordance with the Freedom of Information Act (FOIA). Supplementary information may be provided by listed advisors or their representatives.

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