Glenn A. Caldicott

EMPIRICAL ASSET MANAGEMENT

Wellesley, MA 02481

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CRD#: 1367578

Professional summary

Glenn Andrew Caldicott, CIMA®, who also goes by Caldi Caldicott, is a registered financial advisor currently at EMPIRICAL ASSET MANAGEMENT, LLC located in Wellesley, Massachusetts.

Glenn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Glenn has worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Caldi Caldicott

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Glenn Andrew Caldicott'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

December 9, 2021 - Present

EMPIRICAL ASSET MANAGEMENT, LLC

Office #1: 57 River Street Suite 301, Wellesley, MA 02481

RIA

CRD#: 155436

Wellesley, MA

Past

September 22, 2006 - November 2, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEWTON, MA

Past

March 8, 2006 - November 2, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEWTON, MA

Past

June 7, 1994 - March 8, 2006

ADVEST, INC.

CRD#: 10

HARTFORD, CT

Past

February 11, 1988 - June 23, 1994

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

May 26, 1987 - February 20, 1988

L. F. ROTHSCHILD & CO. INCORPORATED

CRD#: 501

Past

June 5, 1985 - June 5, 1987

MOSELEY SECURITIES CORPORATION

CRD#: 7908

Past

May 23, 1985 - June 4, 1985

ROBERT C. CARR & CO., INC.

CRD#: 5494

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".

EMPIRICAL ASSET MANAGEMENT, LLC

BOSTON PLATINUM MANAGEMENT | PENTA WEALTH MANAGEMENT, LLC | KEARSAGE INVESTMENT ADVISORS | EMPIRICAL ASSET MANAGEMENT, LLC

CRD#: 155436 / SEC#: 801-71967

RIA

Registered Investment Advisory firm - (11/23/2010 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

Massachusetts
(12/9/2021)

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

IAR

Series 65

Date: 3/19/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/4/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/5/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/18/1985

General Securities Representative Examination

Current Firm

EMPIRICAL ASSET MANAGEMENT, LLC

BOSTON PLATINUM MANAGEMENT | PENTA WEALTH MANAGEMENT, LLC | KEARSAGE INVESTMENT ADVISORS | EMPIRICAL ASSET MANAGEMENT, LLC

CRD#: 155436 / SEC#: 801-71967

RIA

Registered Investment Advisory firm - (11/23/2010 Approved)

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Contact information

Main Address

57 River Street Suite 301, Wellesley, MA 02481

Mailing Address

Phone number

(781) 431-2223

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EAM DISCLOSURE BROCHURE AND WRAP FEE PROGRAM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	988
AUM (Assets Under Management)	$ 467,001,856

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

Glenn A. Caldicott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Glenn Andrew Caldicott's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

ADVEST, INC.

GRUNTAL & CO., L.L.C.

L. F. ROTHSCHILD & CO. INCORPORATED

MOSELEY SECURITIES CORPORATION

ROBERT C. CARR & CO., INC.

Primary Firm SEC Registration

EMPIRICAL ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/19/2007

Series 63

Date: 6/4/1985

Series 7TO

Date: 7/5/2022

SIE

Date: 10/1/2018

Series 7

Date: 5/18/1985

Current Firm

EMPIRICAL ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EMPIRICAL ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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