Wayne Oliver Caldwell
CFP®Professional Summary
Wayne Oliver Caldwell, CFP® is a registered financial advisor currently at PREMIER FINANCIAL GROUP INC located in Eureka, California. Wayne is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Wayne has worked at 7 firms and has passed the Series 63, Series 7, Series 8 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Credentials
Years of Experience
42 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
PREMIER FINANCIAL GROUP INC
Contact Information
Main Address
725 Sixth Street, Eureka, CA 95501-1103Phone Number
(707) 443-2741# of Employees
17SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
1,362AUM (Assets Under Management)
$819,918,431Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
PREMIER FINANCIAL GROUP INC
State Registrations and Notice Filings
(7/5/1991)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Mar 1988Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Wayne Oliver Caldwell's CRS (Customer Relationship Summary).
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