FG
Felicia C. Gopaul
CSP FINANCIAL GROUP LLC
IRVINE, CA
Some features on this profile are disabled
CRD#: 2407232
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Professional summary
Felicia Caldwell Gopaul, CFP®, who also goes by Felicia D Caldwell, Felicia Denice Caldwell, is a registered financial advisor currently at CSP FINANCIAL GROUP LLC located in Irvine, California.
Felicia is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Felicia has worked at 9 firms and has passed the Series 63, Series 65 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Felicia D Caldwell | Felicia Denice Caldwell
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.
I run a financial education company, Shipt; Delivery Driver; Not Investment Related; 420 20th St. N Ste. 100 Birmingham AL 35203; Deliver goods and items ; Start date: 2024-05-22; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 20; Percentage of total yearly compensation expected to be derived from the business: 2; Website address for the organization: https://www.shipt.com/.
CRS (Client Relationship Summary) - RIA
Click below to view Felicia Caldwell Gopaul'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®
CFP®
Start date: 2000
Experience
Current
June 11, 2021 - Present
CSP FINANCIAL GROUP LLC
RIA
CRD#: 310819
IRVINE, CA
Past
February 26, 2008 - September 10, 2010
MISSIONSQUARE RETIREMENT
RIA
CRD#: 108783
WASHINGTON, DC
Past
February 26, 2008 - September 10, 2010
MISSIONSQUARE INVESTMENT SERVICES
BD
CRD#: 23189
WASHINGTON, DC
Past
July 20, 2004 - January 3, 2008
OSAIC FA, INC.
RIA
CRD#: 3978
ROCHELLE PARK, NJ
Past
July 14, 2004 - April 3, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
July 14, 2004 - January 3, 2008
OSAIC FA, INC.
BD
CRD#: 3978
ROCHELLE PARK, NJ
Past
February 11, 2002 - June 17, 2004
NATIONWIDE INVESTMENT SERVICES CORPORATION
BD
CRD#: 7110
COLUMBUS, OH
Past
March 5, 1998 - January 14, 2002
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
April 30, 1995 - February 24, 1997
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
November 24, 1993 - January 18, 1995
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
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".
CF
CSP FINANCIAL GROUP LLC
CSP FINANCIAL GROUP LLC
CRD#: 310819 / SEC#: 801-128346
RIA
Registered Investment Advisory firm - (7/14/2023 Approved)Arizona
Registered Investment Advisory firm - (7/17/2023 Terminated)California
Registered Investment Advisory firm - (8/16/2023 Terminated)District of Columbia
Registered Investment Advisory firm - (7/17/2023 Terminated)Florida
Registered Investment Advisory firm - (7/17/2023 Terminated)Georgia
Registered Investment Advisory firm - (7/17/2023 Terminated)Iowa
Registered Investment Advisory firm - (7/17/2023 Terminated)Louisiana
Registered Investment Advisory firm - (7/18/2023 Terminated)Maryland
Registered Investment Advisory firm - (8/8/2023 Terminated)New York
Registered Investment Advisory firm - (7/17/2023 Terminated)North Carolina
Registered Investment Advisory firm - (8/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/3/2023 Terminated)South Carolina
Registered Investment Advisory firm - (7/17/2023 Terminated)Tennessee
Registered Investment Advisory firm - (7/17/2023 Terminated)Texas
Registered Investment Advisory firm - (7/17/2023 Terminated)Virginia
Registered Investment Advisory firm - (7/22/2023 Terminated)West Virginia
Registered Investment Advisory firm - (7/24/2023 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.Highlighted states indicate IAR registrations
IAR
California(6/11/2021)
IAR
Texas(4/18/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
CF
CSP FINANCIAL GROUP LLC
CSP FINANCIAL GROUP LLC
CRD#: 310819 / SEC#: 801-128346
RIA
Registered Investment Advisory firm - (7/14/2023 Approved)Arizona
Registered Investment Advisory firm - (7/17/2023 Terminated)California
Registered Investment Advisory firm - (8/16/2023 Terminated)District of Columbia
Registered Investment Advisory firm - (7/17/2023 Terminated)Florida
Registered Investment Advisory firm - (7/17/2023 Terminated)Georgia
Registered Investment Advisory firm - (7/17/2023 Terminated)Iowa
Registered Investment Advisory firm - (7/17/2023 Terminated)Louisiana
Registered Investment Advisory firm - (7/18/2023 Terminated)Maryland
Registered Investment Advisory firm - (8/8/2023 Terminated)New York
Registered Investment Advisory firm - (7/17/2023 Terminated)North Carolina
Registered Investment Advisory firm - (8/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/3/2023 Terminated)South Carolina
Registered Investment Advisory firm - (7/17/2023 Terminated)Tennessee
Registered Investment Advisory firm - (7/17/2023 Terminated)Texas
Registered Investment Advisory firm - (7/17/2023 Terminated)Virginia
Registered Investment Advisory firm - (7/22/2023 Terminated)West Virginia
Registered Investment Advisory firm - (7/24/2023 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
14300 North Northsight Blvd Suite 120, Scottsdale, AZ 85260
Mailing Address
Phone number
(480) 600-9626
Established
Firm type
Fiscal year end
# of Employees
19
SEC notice filing (29 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 186 |
| AUM (Assets Under Management) | $ 30,345,692 |
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.
