BC
Billy R. Caldwell
CALDWELL ADVISORS
Brentwood, TN 37027
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CRD#: 2183471
BC
Professional summary
Billy Ray Caldwell JR is a registered financial advisor currently at CALDWELL ADVISORS, LLC located in Brentwood, Tennessee and LPL FINANCIAL LLC located in Brentwood, Tennessee.
Billy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Billy has worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 4, Series 27, Series 53, Series 24, Series 10 and Series 9 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. 04/23/2009 - Caldwell Advisors, LLC - INV REL - AT REPORTED LOCATION - DBA for LPL Business Registered Investment Advisor Hybrid - 45% TIME SPENT - Pesonal wealth management and portfolio management on a fee basis (hybrid RIA) - 45% TIME SPENT 2. 08/24/2009 - Caldwell Group, LLC - INV REL - Non-Variable Insurance - 5% TIME SPENT - As part of the overall Wealth Management for my clients, I offer LTC coverage through John Hancock, Unum and Genworth. 3. 05/10/2013 - Caldwell Group/Caldwell Advisors - INV REL - AT REPORTED LOCATION - DBA for LPL Business (entity for LPL business) 4. 02/03/2016 - Dixon Wells, Inc. - INV REL - 5210 Maryland Way, Suite 202, Brentwood, TN 37027 - Non-Variable Insurance - START 01/11/2016 - 8 HOURS PER MONTH, 4 DURING TRADING - Working with a third party general agent, Dixon Wells, to write GUL, Term, LTC Insurance. 5. 2/28/2020 - Caldwell Group, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 02/12/2020 - 40 Hours Per Month During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Billy Ray Caldwell JR'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®
NoneExperience
Current
December 3, 2010 - Present
CALDWELL ADVISORS, LLC
Office #1: 5210 Maryland Way Ste 202, Brentwood, TN 37027RIA
CRD#: 144408
Brentwood, TN
Current
April 21, 2009 - Present
LPL FINANCIAL LLC
Office #1: 5210 Maryland Way Suite 202, Brentwood, TN 37027RIA
BD
CRD#: 6413
Brentwood, TN
Past
February 11, 2005 - February 27, 2008
CAMBRIDGE EQUITY ADVISORS INC
RIA
CRD#: 105368
BRENTWOOD, TN
Past
December 10, 2004 - May 13, 2009
CAMBRIDGE WAY, INC.
BD
CRD#: 16328
BRENTWOOD, TN
Past
July 1, 2003 - December 14, 2004
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
BRENTWOOD, TN
Past
July 1, 2003 - December 14, 2004
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
August 1, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
BRENTWOOD, TN
Past
August 1, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
December 18, 1991 - July 31, 2000
J.C. BRADFORD & CO.
BD
CRD#: 1287
NEW YORK, NY
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".
CA
CALDWELL ADVISORS, LLC
AARON ZAUNER | SCHILLING INVESTMENT CONSULTANTS, LLC | RYAN K. SNOVER/RIVERROCK CAPITAL GROUP, LLC | JOHN W. COBB/VALUES BASED PLANNING, LLC | JOHN COBB | DAVID STEINFELD | CALDWELL ADVISORS, LLC | BEVERLY O. DAVIS | BENTLEY LONDON | ALAN A. COSTA / THE HARPETH FINANCIAL GROUP
CRD#: 144408 / SEC#: 801-106730
RIA
Registered Investment Advisory firm - (11/18/2015 Approved)Tennessee
Registered Investment Advisory firm - (1/11/2016 Terminated)Texas
Registered Investment Advisory firm - (1/8/2016 Terminated)Virginia
Registered Investment Advisory firm - (12/10/2013 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/25/2012)
RR
Arizona(9/26/2014)
RR
Arkansas(4/21/2009)
RR
California(4/21/2009)
RR
Colorado(6/23/2016)
RR
District of Columbia(10/1/2020)
RR
Florida(4/21/2009)
RR
Georgia(4/21/2009)
RR
Illinois(4/21/2009)
RR
Kentucky(2/29/2012)
RR
Massachusetts(7/22/2021)
RR
Michigan(1/30/2024)
RR
Mississippi(4/21/2009)
RR
Missouri(4/2/2015)
RR
New Hampshire(7/22/2021)
RR
New Jersey(6/10/2009)
RR
New York(4/21/2009)
RR
North Carolina(10/5/2009)
RR
Ohio(10/1/2020)
RR
Oklahoma(9/22/2020)
RR
Pennsylvania(4/21/2009)
RR
South Carolina(3/30/2020)
RR
Tennessee(4/21/2009)
IAR
Tennessee(12/3/2010)
RR
Texas(4/21/2009)
IAR
Texas(7/8/2013)
RR
Utah(9/20/2024)
RR
Virginia(4/21/2009)
RR
Wisconsin(8/17/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CA
CALDWELL ADVISORS, LLC
AARON ZAUNER | SCHILLING INVESTMENT CONSULTANTS, LLC | RYAN K. SNOVER/RIVERROCK CAPITAL GROUP, LLC | JOHN W. COBB/VALUES BASED PLANNING, LLC | JOHN COBB | DAVID STEINFELD | CALDWELL ADVISORS, LLC | BEVERLY O. DAVIS | BENTLEY LONDON | ALAN A. COSTA / THE HARPETH FINANCIAL GROUP
CRD#: 144408 / SEC#: 801-106730
RIA
Registered Investment Advisory firm - (11/18/2015 Approved)Tennessee
Registered Investment Advisory firm - (1/11/2016 Terminated)Texas
Registered Investment Advisory firm - (1/8/2016 Terminated)Virginia
Registered Investment Advisory firm - (12/10/2013 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5210 Maryland Way Ste 202, Brentwood, TN 37027
Mailing Address
Phone number
(615) 370-8988
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 493 |
| AUM (Assets Under Management) | $ 339,088,296 |
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.
