Clayton Caldwell
Professional Summary
CLAYTON CALDWELL was a registered financial advisor. CLAYTON was a previously registered financial professional and started their career in finance 1992 - 2026. CLAYTON had worked at 3 firms and has passed the Series 63 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Biography
Clay serves as a Private Wealth Manager, working directly with his clients to create and maintain a customized financial plan addressing all aspects of a healthy financial life, including tax planning, retirement, employee benefits and estate planning. With more than 30 years of experience in the financial services industry, Clay worked for an independent investment advisory firm as the director of estate planning prior to joining Creative Planning. He has also worked as an airline...
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
34 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
CREATIVE PLANNING | WOMEN'S WEALTH MANAGEMENT | THE EXCHANGE TRADED FUND CENTER | CREATIVE PLANNING, LLC | CREATIVE PLANNING, INC. | CREATIVE PLANNING INC
Contact Information
Main Address
5454 W. 110th Street, Overland Park, KS 66211Phone Number
(866) 909-5148# of Employees
1,650SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
320,323AUM (Assets Under Management)
$295,568,603,071Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/27/2025 | Cover Page | Report |
| 09/19/2024 | Cover Page | Report |
| 01/03/2024 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
CREATIVE PLANNING | WOMEN'S WEALTH MANAGEMENT | THE EXCHANGE TRADED FUND CENTER | CREATIVE PLANNING, LLC | CREATIVE PLANNING, INC. | CREATIVE PLANNING INC
State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Aug 1992About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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