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CLAYTON CALDWELL

CLAYTON CALDWELL

Some features on this profile are disabled
CRD#: 2234647
CLAYTON CALDWELL

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.

CLAYTON CALDWELL was a registered financial professional .

CLAYTON is a previously registered financial professional and started their career in finance in 1992. CLAYTON had worked at 3 firms and has passed the Series 63 and Series 6 exams.

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 pilot, an adjunct faculty member of the College of Financial Planning and a member of a pilot council, where he oversaw pilot retirement planning as well as pension and benefit plans. Clay is also proud to have served six years in the United States Air Force. Clay earned a Bachelor of Arts degree in business from Florida State University. He is also a CERTIFIED FINANCIAL PLANNER™ professional, as designated by the Certified Financial Planner Board of Standards. Clay and his wife, Lisa, have two children and six grandchildren.

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

May 16, 2023 - March 2, 2026

CREATIVE PLANNING

RIA
CRD#: 105348
SEMINOLE, FL
Past

January 7, 2020 - April 21, 2023

ALLWORTH FINANCIAL, L.P.

RIA
CRD#: 111167
SACRAMENTO, CA
Past

September 14, 1992 - January 7, 2020

RAA

RIA
CRD#: 108203
Seminole, FL

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".
CP
CREATIVE PLANNING
CREATIVE PLANNING | WOMEN'S WEALTH MANAGEMENT | THE EXCHANGE TRADED FUND CENTER | CREATIVE PLANNING, LLC | CREATIVE PLANNING, INC. | CREATIVE PLANNING INC

CRD#: 105348 / SEC#: 801-18564

RIA
Registered Investment Advisory firm - (3/18/1983 Approved)

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: 4/16/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 8/5/1992
Investment Company Products/Variable Contracts Representative Examination

Current Firm

CP
CREATIVE PLANNING
CREATIVE PLANNING | WOMEN'S WEALTH MANAGEMENT | THE EXCHANGE TRADED FUND CENTER | CREATIVE PLANNING, LLC | CREATIVE PLANNING, INC. | CREATIVE PLANNING INC

CRD#: 105348 / SEC#: 801-18564

RIA
Registered Investment Advisory firm - (3/18/1983 Approved)
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Contact information

Main Address
5454 W. 110th Street, Overland Park, KS 66211
Mailing Address
Phone number
(866) 909-5148
Established
Firm type
Fiscal year end
# of Employees
1,428

SEC notice filing (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CREATIVE PLANNING FIRM BROCHURE (3/5/2025)

Regulatory assets under management

Total Number of Accounts269,686
AUM (Assets Under Management)$ 217,399,324,981

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
06/27/2025
Cover Page
Report
09/19/2024
Cover Page
Report
01/03/2024
Cover Page
Report
01/18/2023
Cover Page
Report

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

CREATIVE PLANNING

Wealth ManagerCRD#: 105348

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Contact information

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