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).

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 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 10 years of experience in the finance industry.

2
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 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 12 years of experience in the finance industry.

4
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 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 30 years of experience in the finance industry.

6
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 28 years of experience in the finance industry.

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