Todd G. Caudle

EXECUTIVE INVESTMENT SERVICES

LAKE OSWEGO, OR 97034

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CRD#: 2007952

Professional summary

Todd Gary Caudle is a registered financial advisor currently at EXECUTIVE INVESTMENT SERVICES, LLC located in Lake Oswego, Oregon.

Todd is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Todd has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

(1) MEDICAL PROFESSIONALS FINANCIAL GROUP POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 01/01/2006 ADDRESS: 310 N State Street, Suite 206, Lake Oswego OR 97034, United States DESCRIPTION: Principal/owner - marketing for investment channel (2) PROFESSIONAL RISK MANAGEMENT POSITION: Agent/Representative NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 4 START DATE: 01/02/2012 ADDRESS: 310 N State Street, Suite 206, Lake Oswego OR 97034, United States DESCRIPTION: outside insurance: owner of company and producer (3) BIG SUMMIT, LLC POSITION: Officer/Director NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/23/2015 ADDRESS: 5801 SW Homesteader Rd, Wilsonville OR 97070, United States DESCRIPTION: Personal purchase and sale of real estate, no activity since 2016 (4) PROFESSIONAL RISK MANAGEMENT, A WEALTH MANAGEMENT COMPANY POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 100 START DATE: 01/02/2012 ADDRESS: 310 N State Street, Suite 206, Lake Oswego OR 97034, United States DESCRIPTION: DBA used for marketing purposes (5) EXECUTIVE INVESTMENT SERVICES POSITION: Officer/Director NATURE: Outside Registered Investment Advisor/Outside IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 10/21/2021 ADDRESS: 310 N State Street, Suite 206, Lake Oswego OR 97034, United States DESCRIPTION: Outside RIA

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Todd Gary Caudle'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

May 14, 2010 - Present

EXECUTIVE INVESTMENT SERVICES, LLC

Office #1: 201 B Avenue Suite 220, Lake Oswego, OR 97034

RIA

CRD#: 152410

LAKE OSWEGO, OR

Past

January 10, 2013 - February 4, 2025

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

LAKE OSWEGO, OR

Past

June 10, 2010 - December 31, 2011

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

LAKE OSWEGO, OR

Past

May 14, 2010 - February 11, 2015

RX INVESTMENT SOLUTIONS LLC

RIA

CRD#: 147848

LAKE OSWEGO, OR

Past

December 11, 2009 - February 4, 2025

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

LAKE OSWEGO, OR

Past

January 10, 2006 - December 15, 2009

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

LAKE OSWEGO, OR

Past

November 3, 2005 - January 19, 2006

WAMU INVESTMENTS, INC.

RIA

CRD#: 599

PORTLAND, OR

Past

March 23, 2005 - January 19, 2006

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

November 30, 1989 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

November 30, 1989 - March 15, 2005

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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

Oregon
(5/14/2010)

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: 12/21/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/29/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/28/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/29/1989

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 6/15/2007

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/8/2006

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 3/31/1997

Investment Company Products/Variable Contracts Principal Examination

Current Firm

EXECUTIVE INVESTMENT SERVICES, LLC

EXECUTIVE INVESTMENT SERVICES, LLC | MCCOY, FOAT, GASSNER LLC | MCCOY FOAT WEALTH MANAGEMENT GROUP, LLC | MCCOY FOAT WEALTH MANAGEMENT GROUP

CRD#: 152410 / SEC#:

Oregon

Registered Investment Advisory firm - (5/17/2010 Approved)

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Contact information

Main Address

201 B Avenue Suite 220, Lake Oswego, OR 97034

Mailing Address

Phone number

(503) 697-0817

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	142
AUM (Assets Under Management)	$ 87,789,712

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Todd G. Caudle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Todd Gary Caudle's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

RX INVESTMENT SOLUTIONS LLC

INDEPENDENT FINANCIAL GROUP, LLC

NEXT FINANCIAL GROUP, INC.

WAMU INVESTMENTS, INC.

WAMU INVESTMENTS, INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/21/1999

Series 63

Date: 11/29/1989

SIE

Date: 10/1/2018

Series 7

Date: 3/28/2000

Series 6

Date: 11/29/1989

Series 51

Date: 6/15/2007

Series 24

Date: 2/8/2006

Series 26

Date: 3/31/1997

Current Firm

EXECUTIVE INVESTMENT SERVICES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

EXECUTIVE INVESTMENT SERVICES, LLC

TRUST BUT VERIFY

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