Paul G. Caldera

Some features on this profile are disabled

CRD#: 2365097

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.

Paul Gilbert Caldera was a registered financial professional .

Paul is a previously registered financial professional and started their career in finance in 1993. Paul had worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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 22, 2018 - July 2, 2018

SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035

CHARLOTTE, NC

Past

November 29, 2007 - March 24, 2016

SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035

CHARLOTTE, NC

Past

April 17, 2006 - November 27, 2007

R.M. STARK & CO., INC.

CRD#: 7612

DELRAY BEACH, FL

Past

April 16, 2004 - April 24, 2006

EQUITAS AMERICA, LLC

CRD#: 39806

FARMINGTON HILLS, MI

Past

November 25, 2002 - April 20, 2004

CARDINAL CAPITAL MANAGEMENT, INC.

CRD#: 24605

MIAMI, FL

Past

August 26, 2002 - November 15, 2002

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TAMPA, FL

Past

October 15, 1997 - August 28, 2002

BENSON YORK GROUP, INC.

CRD#: 40231

MELVILLE, NY

Past

August 29, 1997 - September 22, 1997

BENSON YORK GROUP, INC.

CRD#: 40231

Past

November 27, 1996 - August 29, 1997

GKN SECURITIES CORP.

CRD#: 19415

NEW YORK, NY

Past

April 19, 1996 - November 27, 1996

PARAGON CAPITAL MARKETS, INC.

CRD#: 18555

EAST HANOVER, NJ

Past

January 4, 1996 - April 22, 1996

HFC CAPITAL CORP.

CRD#: 30539

NEW YORK, NY

Past

November 27, 1995 - April 22, 1996

HFC CAPITAL CORP.

CRD#: 30539

Past

November 21, 1995 - November 22, 1995

RICKEL & ASSOCIATES, INC.

CRD#: 7839

NEW YORK, NY

Past

March 2, 1995 - November 20, 1995

BLUESTONE CAPITAL CORP.

CRD#: 13516

NEW YORK, NY

Past

May 18, 1994 - March 16, 1995

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, NY

Past

June 25, 1993 - May 25, 1994

HFC CAPITAL CORP.

CRD#: 30539

NEW YORK, 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

Series 63

Date: 7/15/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/2/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/24/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/6/2001

General Securities Principal Examination

Current Firm

SOUTHEAST INVESTMENTS, N.C., INC.

SOUTHEAST INVESTMENTS N.A., INC. | SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035 / SEC#: , 8-50127

Florida

Registered Investment Advisory firm - SEC (11/7/2019 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (3/31/2016 Terminated)

South Carolina

Registered Investment Advisory firm - SEC (1/6/2012 Approved)

Texas

Registered Investment Advisory firm - SEC (12/16/2015 Terminated)

Virginia

Registered Investment Advisory firm - SEC (12/21/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

820 Tyvola Road-suite 104 Suite 104, Charlotte, NC 28217-3528

Mailing Address

820 Tyvola Road-suite 104, Charlotte, NC 28217

Phone number

(704) 527-7873

Established

North Carolina since 12/06/1996

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
BLACK, JONATHAN HARRISON	PRESIDENT/CEO/CCO/FINOP	4975641
PLEXICO, RONALD DAVID JR	PRINCIPAL	2122340

Disclosures

Regulatory Event	3
Arbitration	3

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Paul G. Caldera

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SOUTHEAST INVESTMENTS, N.C., INC.

R.M. STARK & CO., INC.

EQUITAS AMERICA, LLC

CARDINAL CAPITAL MANAGEMENT, INC.

GUNNALLEN FINANCIAL, INC

BENSON YORK GROUP, INC.

BENSON YORK GROUP, INC.

GKN SECURITIES CORP.

PARAGON CAPITAL MARKETS, INC.

HFC CAPITAL CORP.

HFC CAPITAL CORP.

RICKEL & ASSOCIATES, INC.

BLUESTONE CAPITAL CORP.

H.J. MEYERS & CO., INC.

HFC CAPITAL CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/15/1993

SIE

Date: 7/2/2018

Series 7

Date: 6/24/1993

Series 24

Date: 7/6/2001

Current Firm

SOUTHEAST INVESTMENTS, N.C., INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SOUTHEAST INVESTMENTS, N.C., INC.

TRUST BUT VERIFY

Similar Advisors