Roland ". 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.
Roland "kelly" Caldwell JR was a registered financial professional .
Roland is a previously registered financial professional and started their career in finance in 1989. Roland had worked at 2 firms and has passed the Series 2 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2010 - February 27, 2017
INSTITUTIONAL INVESTOR ADVISERS, INC.
March 1, 1989 - December 11, 2008
OMNIVEST RESEARCH CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Series 2
Date: 1/13/1989
Non-Member General Securities ExaminationCurrent Firm
INSTITUTIONAL INVESTOR ADVISERS, INC.
CRD#: 153920 / SEC#: 801-71574
Contact information
Red Flags
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