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Patricia A. Caldwell

GORDIAN GROUP
New York, NY 10022
Some features on this profile are disabled
CRD#: 1923585
PC

Professional summary

Patricia Ann Caldwell is a registered financial professional currently at GORDIAN GROUP, LLC located in New York, New York.

Patricia is registered as a RR (Registered Representative) and started their career in finance in 1989. Patricia has worked at 1 firm and has passed the Series 99TO, Series 79TO, SIE, Series 7 and Series 27 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) - BD

Click below to view Patricia Ann Caldwell's 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

October 31, 1989 - Present

GORDIAN GROUP, LLC

Office #1: 950 Third Ave. 17th Fl., New York, NY 10022Office #2: 950 Third Avenue 17th Floor, New York, NY 10022
BD
CRD#: 24034
New York, NY

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

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/20/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 2/20/1990
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

GG
GORDIAN GROUP, LLC
GORDIAN GROUP, L.P. | OWSLEY, LEDERMAN, CALDWELL & PARTNERS, L.P. | GORDIAN GROUP, LLC

CRD#: 24034 / SEC#: , 8-40861

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
950 Third Avenue 17th Floor, New York, NY 10022
Mailing Address
950 Third Avenue 17th Floor, New York, NY 10022
Phone number
(212) 486-3600
Established
Delaware since 06/28/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
GORDIAN ACQUISITION CORP.MEMBER
BACH, KRISTINAFINOP4281682
CALDWELL, PATRICIA ANNMANAGING DIRECTOR1923585
KAUFMAN, PETER SANGERPRESIDENT/INVESTMENT BANKING PRINCIPAL1530462
OWSLEY, HENRY FURLOW IIIMANAGING DIRECTOR, CEO, & CHIEF COMPLIANCE OFFICER/CR/INVESTMENT BANKING PRINCIPAL1051167

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

GORDIAN GROUP, LLC

CRD#: 24034New York, NY 10022

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