Craig L. Caudle

BURFORD BROTHERS

Dallas, TX 75205

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CRD#: 1773375

Professional summary

Craig Lawrence Caudle, who also goes by Craig Caudle, is a registered financial advisor currently at BURFORD BROTHERS, INC. located in Dallas, Texas.

Craig is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Craig has worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 22 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Craig Caudle

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.

(1) GUITAR HOLDING COMPANY; ADDRESS: 400 PINE STREET, STE 525, ABILENE, TX 79601; BUSINESS DESCRIPTION: FAMILY LP; NOT INVESTMENT RELATED; START DATE: 03/15/2018; CAPACITY: OWNER-PASSIVE; DUTIES: MANAGER; HOURS DEVOTED PER MONTH: <1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: NONE (2) HONEY'S HERITAGE, LLC; ADDRESS: MIDLAND, TX 79601; BUSINESS DESCRIPTION: FAMILY LP; NOT INVESTMENT RELATED; START DATE: 2018; CAPACITY: OWNER-PASSIVE; DUTIES: MANAGER; HOURS DEVOTED PER MONTH: <1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: NONE (3) LRSC Ltd, Non-investment related, Dallas, TX, Family Limited Partnership, Director, 2012, 2 hours per month (4) Spirit in Brad, Inc. non-investment related, Dallas, TX, Charity, Director, 2017, 2 hours per month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Craig Lawrence Caudle'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®

None

Experience

Current

June 1, 2022 - Present

BURFORD BROTHERS, INC.

Office #1: 7001 Preston Road Suite 405, Dallas, TX 75205

RIA

CRD#: 306574

Dallas, TX

Past

June 21, 2021 - April 5, 2022

LEE FINANCIAL COMPANY, LLC

RIA

CRD#: 105910

DALLAS, TX

Past

September 7, 2018 - June 1, 2021

II TECHNOLOGY, LLC

RIA

CRD#: 282760

MIDLAND, TX

Past

March 10, 2015 - September 18, 2018

RBC CAPITAL MARKETS, LLC

CRD#: 31194

MIDLAND, TX

Past

February 18, 2015 - September 18, 2018

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

MIDLAND, TX

Past

October 2, 2014 - January 5, 2015

VIEW CAPITAL RIA, LP

RIA

CRD#: 130678

DALLAS, TX

Past

August 26, 2009 - October 2, 2014

ST. JAMES INVESTMENT COMPANY, LLC

RIA

CRD#: 124777

CHICAGO, IL

Past

January 8, 2009 - October 18, 2011

ARGENTUS SECURITIES, LLC

CRD#: 45915

DALLAS, TX

Past

November 28, 2007 - November 12, 2015

LIBERTY FUNDS GROUP

RIA

CRD#: 118385

CHICAGO, IL

Past

March 29, 2005 - December 31, 2005

LIBERTY ST. JAMES

RIA

CRD#: 133514

LUBBOCK, TX

Past

September 24, 2004 - December 31, 2008

AWM SERVICES, LLC

RIA

CRD#: 6439

LUBBOCK, TX

Past

July 23, 1998 - December 31, 2008

AWM SERVICES, LLC

CRD#: 6439

LUBBOCK, TX

Past

June 22, 1988 - August 18, 1993

WORTH FINANCIAL GROUP INC.

CRD#: 13478

DALLAS, TX

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".

BURFORD BROTHERS, INC.

CRD#: 306574 / SEC#: 801-117819

RIA

Registered Investment Advisory firm - (12/16/2019 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

Texas
(6/1/2022)

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: 3/26/2015

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/29/2004

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 9/18/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/10/2015

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 7/21/1998

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 3

Date: 10/27/1987

National Commodity Futures Examination

Current Firm

BURFORD BROTHERS, INC.

CRD#: 306574 / SEC#: 801-117819

RIA

Registered Investment Advisory firm - (12/16/2019 Approved)

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Contact information

Main Address

7001 Preston Road Suite 405, Dallas, TX 75205

Mailing Address

Phone number

(214) 523-2333

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - APPENDIX 1 WRAP FEE PROGRAM BROCHURE - BURFORD BROTHERS, INC. (2/18/2025)

FORM ADV PART 2A - FIRM BROCHURE - BURFORD BROTHERS, INC. (2/18/2025)

Regulatory assets under management

Total Number of Accounts	749
AUM (Assets Under Management)	$ 361,328,374

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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Firm Stability Insights

Craig L. Caudle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Craig Lawrence Caudle's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEE FINANCIAL COMPANY, LLC

II TECHNOLOGY, LLC

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

VIEW CAPITAL RIA, LP

ST. JAMES INVESTMENT COMPANY, LLC

ARGENTUS SECURITIES, LLC

LIBERTY FUNDS GROUP

LIBERTY ST. JAMES

AWM SERVICES, LLC

AWM SERVICES, LLC

WORTH FINANCIAL GROUP INC.

Primary Firm SEC Registration

BURFORD BROTHERS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/26/2015

Series 65

Date: 9/29/2004

SIE

Date: 9/18/2018

Series 7

Date: 3/10/2015

Series 22

Date: 7/21/1998

Series 3

Date: 10/27/1987

Current Firm

BURFORD BROTHERS, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BURFORD BROTHERS, INC.

TRUST BUT VERIFY

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