Tain 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.
Tain M Caldwell, who also goes by Tain M Carwile, Tain Marie Thompson, was a registered financial professional .
Tain is a previously registered financial professional and started their career in finance in 1993. Tain had worked at 3 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2008 - June 27, 2008
STERNE, AGEE & LEACH, INC.
March 8, 1996 - May 26, 2006
UBS FINANCIAL SERVICES INC.
August 26, 1993 - March 12, 1996
CITIGROUP GLOBAL MARKETS 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
Current Firm
STERNE, AGEE & LEACH, INC.
CRD#: 791 / SEC#: , 8-11754
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTL FCSTONE INC. | 100% OWNER | |
| TROUT, RONALD CAREY | CHIEF COMPLIANCE OFFICER | 2947546 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 6 |
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.
