Jolie M. Caldwell
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jolie Mcgowin Caldwell was a registered financial professional .
Jolie is a previously registered financial professional and started their career in finance in 1983. Jolie had worked at 3 firms and has passed the Series 63, SIE, Series 15, Series 5, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2009 - January 7, 2021
BROWN AND BROWN SECURITIES, INC.
August 23, 2006 - December 31, 2007
INVESTORS CAPITAL CORP.
October 17, 1983 - September 8, 2004
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 1/4/1990
Foreign Currency Options ExaminationSeries 5
Date: 10/11/1989
Interest Rate Options ExaminationSeries 8
Date: 3/23/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BROWN AND BROWN SECURITIES, INC.
CRD#: 15560 / SEC#: , 8-32385
Contact information
FINRA licenses (10 States and Territories)
Red Flags
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