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Eric Caldwell

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CRD#: 2077989
EC

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.

Eric Caldwell was a registered financial professional .

Eric is a previously registered financial professional and started their career in finance in 1993. Eric had worked at 12 firms and has passed the Series 63, SIE, Series 25 and Series 7 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

March 27, 2014 - June 15, 2017

BOE SECURITIES INC.

BD
CRD#: 43486
NEW YORK, NY
Past

January 3, 2014 - March 25, 2014

KOTA GLOBAL SECURITIES INC.

BD
CRD#: 28137
NEW YORK, NY
Past

April 26, 2013 - January 17, 2014

TOUSSAINT CAPITAL PARTNERS, LLC

BD
CRD#: 130290
FREEHOLD, NJ
Past

October 15, 2009 - December 12, 2013

PRIME EXECUTIONS, INC.

BD
CRD#: 32889
NEW YORK, NY
Past

August 29, 2008 - October 31, 2008

HENLEY & COMPANY LLC

BD
CRD#: 131453
UNIONDALE, NY
Past

March 18, 2008 - August 5, 2008

TOUSSAINT CAPITAL PARTNERS, LLC

BD
CRD#: 130290
FREEHOLD, NJ
Past

December 16, 2006 - December 6, 2007

IFS SECURITIES

BD
CRD#: 40375
ATLANTA, GA
Past

October 13, 2006 - December 18, 2006

WESTMINSTER SECURITIES CORPORATION

BD
CRD#: 6105
ALPHARETTA, GA
Past

May 6, 2004 - October 27, 2006

GFI SECURITIES LLC

BD
CRD#: 19982
NEW YORK, NY
Past

April 18, 2000 - June 4, 2004

BURLINGTON CAPITAL MARKETS INC.

BD
CRD#: 26991
NEW YORK, NY
Past

July 28, 1998 - August 10, 1998

J. P. GIBBONS & CO., INC.

BD
CRD#: 38850
NEW YORK, NY
Past

June 25, 1996 - September 20, 1996

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY
Past

November 24, 1993 - July 16, 1996

ROYCE INVESTMENT GROUP, INC.

BD
CRD#: 10494
WOODBURY, 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

State Security Law Exam
RR
Series 63
Date: 12/15/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/15/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 25
Date: 8/19/2010
NYSE Trading Assistant Examination
General Industry/Product Exam
RR
Series 7
Date: 11/23/1993
General Securities Representative Examination

Current Firm

BS
BOE SECURITIES INC.
BOE SECURITIES INC.

CRD#: 43486 / SEC#: , 8-50309

BD
Terminated by SEC on 10/30/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
Pennsylvania since 02/20/1997
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
THE BOE GROUPSTOCKHOLDER
JOSEPH, SABU PUTHENPARAMBDIRECTOR OF EQUITY RESEARCH4151477
OUTLAW, BUFUS JRPRESIDENT, CEO, CCO, FINOP2275911

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

BOE SECURITIES INC.

CRD#: 43486

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