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BC

Brian L. Caldwell

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CRD#: 1473614
BC

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.

Brian Lee Caldwell was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 1986. Brian had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 29, 2015 - September 6, 2018

KLR GROUP, LLC

BD
CRD#: 165586
HOUSTON, TX
Past

January 9, 2007 - November 25, 2014

CAPITAL ONE SECURITIES, INC.

BD
CRD#: 44158
MANDEVILLE, LA
Past

March 18, 2005 - April 2, 2007

INTL ADVISORY CONSULTANTS INC.

RIA
CRD#: 130888
BIRMINGHAM, AL
Past

February 23, 2005 - January 17, 2007

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
NEW ORLEANS, LA
Past

April 23, 2001 - February 9, 2005

JOHNSON RICE & COMPANY L.L.C.

BD
CRD#: 19524
NEW ORLEANS, LA
Past

November 1, 1999 - May 16, 2001

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD
Past

August 2, 1993 - November 8, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

February 26, 1992 - August 4, 1993

WALNUT STREET SECURITIES, INC.

BD
CRD#: 15840
EL SEGUNDO, CA
Past

January 2, 1992 - February 24, 1992

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY
Past

October 10, 1988 - October 9, 1989

MFS FINANCIAL SERVICES, INC.

BD
CRD#: 18309
BOSTON, MA
Past

May 7, 1986 - August 11, 1986

LOWRY FINANCIAL SERVICES CORPORATION

BD
CRD#: 7291

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 4/26/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/20/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/6/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/19/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 11/4/1998
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

KG
KLR GROUP, LLC
KLR GROUP, LLC

CRD#: 165586 / SEC#: , 8-69168

BD
Terminated by SEC on 05/29/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
Nevada since 06/14/2012
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
KLR GROUP HOLDINGS, LLCMEMBER
DOW, GREGORY RCCO, AML SUPERVISOR, EXECUTIVE REP., COO, GENERAL COUNSEL4800953
KOVALIK, EDWARDCEO4413045
LEGAYE, DANIEL EUGENE SRFINOP/CFO1055035

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.

Company Information

KLR GROUP, LLC

CRD#: 165586

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