James Caldwell, financial advisor Omaha NE
83 score

James Caldwell

CRD Number: 1437627
Current Firm: Cwm, LLC

James Caldwell (CRD# 1437627) is an Investment Advisor Representative working at Cwm, LLC in Omaha, NE and has over 31 years of experience in the finance industry.

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Company Name Location Dates Years
Cetera Advisors Networks LLC El Segundo, CA Feb 2017 - Current 1
Cwm, LLC Omaha, NE Jan 2017 - Current 1
Pnc Investments Port St Lucie, FL Mar 2016 - Jan 2017 < 1
Raymond James Financial Services,inc Boynton Beach, FL Feb 2015 - Mar 2016 1
Raymond James Financial Services Advisors Inc. Boynton Beach, FL Feb 2015 - Mar 2016 1
Cassandra Financial Group Boynton Beach, FL Feb 2015 - Mar 2016 1
Independent Financial Partners Tampa, FL Sep 2013 - Feb 2015 1
Lpl Financial LLC Melbourne, FL Jul 2010 - Feb 2015 4
New York Community Bank Deerfield, FL Aug 2010 - Sep 2013 3
Amtrust Deerfield Beach, FL Jul 2010 - Aug 2010 < 1
Uvest Financial Services Group, Inc. Charlotte, NC Feb 2009 - Jul 2010 1
Riverside National Bank Fort Pierce, FL Feb 2009 - Jul 2010 1
Unemployed Vero Beach, FL Sep 2008 - Feb 2009 < 1
National Planning Corporation The Villages, FL Feb 2008 - Sep 2008 < 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 1986
S66 NASAA Uniform Combined State Law Examination Jun 2008
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:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for James R. Caldwell
Phone Number: 402-330-0808
Registered State(s):
  • NE
By the Numbers
  • Total Assets Under Management
    4,315
    MILLIONS
  • Total Number of Accounts
    22,216
    ACCOUNTS
  • Average Account Value
    $194,234
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
  • 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, WY

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BADGES
83

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