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Casey S. Calder
CALDER FINANCIAL LLC
Downingtown, PA
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CRD#: 1061404
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Professional summary
Casey Shawn Calder, ChFC® is a registered financial advisor currently at CALDER FINANCIAL LLC located in Downingtown, Pennsylvania.
Casey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Casey has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1)CALDER FINANCIAL - OWNER/SELF EMPLOYED - AGENT/REP - INSURANCE AND FINANCIAL SERVICES - DOWNINGTOWN, PA. - SINCE 01/1982. 2)CALDER FINANCIAL - President - Calder Financial is a business that occassionally sells a fixed insurance product. - Not INVESTMENT RELATED - 12/31/1981 - ADDRESS: , Downingtown PA , United States 3)CALDER FINANCIAL - President - Marketing Firm - Not INVESTMENT RELATED - 01/01/1981 - ADDRESS: , Dowmningtown PA , United States 4)CALDER FINANCIAL LLC - President - Calder Financial is a business that occasionally sells a fixed insurance product.- Not INVESTMENT RELATED - 12/31/1981 - ADDRESS: , Downingtown PA , United States 5)CALDER FINANCIAL LLC - President - Marketing/Pass through Firm that operates as the entity with an RIA contract and a brokerage contract thru United Planners Financial Services. It receives RIA Fees from UPFS and pays expenses here locally in Downingtown, Pennsylvania including Salary and Office/Business expenses not paid thru UPFS. - Not INVESTMENT RELATED - 10/01/2017 - ADDRESS: , Downingtown PA , United States
CRS (Client Relationship Summary) - RIA
Click below to view Casey Shawn Calder's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
January 2, 2018 - Present
CALDER FINANCIAL LLC
RIA
CRD#: 290616
Downingtown, PA
Past
August 13, 2007 - December 31, 2017
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
RIA
CRD#: 20804
DOWNINGTOWN, PA
Past
February 24, 1994 - December 31, 2017
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
DOWNINGTOWN, PA
Past
January 4, 1990 - February 16, 1994
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
July 26, 1984 - June 19, 1985
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Past
February 21, 1984 - June 19, 1985
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 2682
Past
December 6, 1982 - September 9, 1983
ILG SECURITIES CORPORATION
BD
CRD#: 422
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CF
CALDER FINANCIAL LLC
CALDER FINANCIAL LLC
CRD#: 290616 / SEC#: 801-130243
RIA
Registered Investment Advisory firm - (5/15/2024 Approved)Pennsylvania
Registered Investment Advisory firm - (5/21/2024 Terminated)Texas
Registered Investment Advisory firm - (5/21/2024 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Pennsylvania(1/2/2018)
IAR
Texas(12/5/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
CF
CALDER FINANCIAL LLC
CALDER FINANCIAL LLC
CRD#: 290616 / SEC#: 801-130243
RIA
Registered Investment Advisory firm - (5/15/2024 Approved)Pennsylvania
Registered Investment Advisory firm - (5/21/2024 Terminated)Texas
Registered Investment Advisory firm - (5/21/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Downingtown, PA
Mailing Address
Phone number
(610) 458-8373
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 237 |
| AUM (Assets Under Management) | $ 117,980,172 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
