Wayne O. Caldwell

PREMIER FINANCIAL GROUP

EUREKA, CA 95501

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CRD#: 1252052

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.

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.

R.I.A. - PREMIER FINANCIAL GROUP; INVESTMENT CONSULTING THROUGH QUE LLC

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wayne Oliver Caldwell's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 1986

Experience

Current

July 5, 1991 - Present

PREMIER FINANCIAL GROUP INC

Office #1: 725 Sixth Street, Eureka, CA 95501

RIA

CRD#: 107314

EUREKA, CA

Past

April 5, 2002 - September 21, 2006

CANTELLA & CO., INC.

CRD#: 13905

EUREKA, CA

Past

January 4, 1999 - April 25, 2002

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

December 13, 1988 - January 4, 1999

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

July 25, 1988 - December 20, 1988

BIRR WILSON, INC.

CRD#: 12997

Past

April 1, 1986 - August 9, 1988

BWS, INC.

CRD#: 17569

Past

March 22, 1984 - April 1, 1986

BIRR, WILSON & CO., INC.

CRD#: 93

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".

PREMIER FINANCIAL GROUP INC

CRD#: 107314 / SEC#: 801-38364

RIA

Registered Investment Advisory firm - (1/10/1991 Approved)

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

California
(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

State Security Law Exam

Series 63

Date: 4/9/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/17/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 3/28/1988

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 4

Date: 9/10/1985

Registered Options Principal Examination

Current Firm

PREMIER FINANCIAL GROUP INC

CRD#: 107314 / SEC#: 801-38364

RIA

Registered Investment Advisory firm - (1/10/1991 Approved)

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Contact information

Main Address

725 Sixth Street, Eureka, CA 95501-1103

Mailing Address

Phone number

(707) 443-2741

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A OF FORM ADV: FIRM BROCHURE (3/18/2025)

Regulatory assets under management

Total Number of Accounts	1,311
AUM (Assets Under Management)	$ 721,361,477

Red Flags

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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Advisor Monitoring

Firm Stability Insights

Wayne O. Caldwell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wayne Oliver Caldwell's CRS (Customer Relationship Summary).

Certified licenses

Experience

CANTELLA & CO., INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

ROBERT THOMAS SECURITIES, INC

BIRR WILSON, INC.

BWS, INC.

BIRR, WILSON & CO., INC.

Primary Firm SEC Registration

PREMIER FINANCIAL GROUP INC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/9/1984

Series 7

Date: 3/17/1984

Series 8

Date: 3/28/1988

Series 4

Date: 9/10/1985

Current Firm

PREMIER FINANCIAL GROUP INC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PREMIER FINANCIAL GROUP INC

TRUST BUT VERIFY

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