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Scott C. Caldwell

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CRD#: 2557511
SC

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.

Scott Christopher Caldwell was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 1995. Scott had worked at 3 firms and has passed the Series 63, Series 55 and Series 7 exams.

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

June 12, 2012 - January 18, 2013

TRADE INFORMATICS LLC

BD
CRD#: 143867
RED BANK, NJ
Past

January 29, 1996 - May 3, 2012

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
NEW YORK, NY
Past

May 2, 1995 - May 12, 1995

GATES CAPITAL CORPORATION

BD
CRD#: 29582
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
RR
Series 63
Date: 1/9/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 4/8/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 12/23/1994
General Securities Representative Examination

Current Firm

TI
TRADE INFORMATICS LLC
S.J. LEVINSON & SONS LLC | TRADE INFORMATICS LLC

CRD#: 143867 / SEC#: , 8-67613

BD
Terminated by SEC on 10/23/2021
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 11/21/2006
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
TRADE INFORMATICS, INC. (FORMERLY PLIA SYSTEMS, INC.)SOLE MEMBER
CELEBUSKI, MATTHEW JOHNCHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER1869106
MOORE, ERIC DOUGLASCFO/FINOP/COO2199329

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

TRADE INFORMATICS LLC

CRD#: 143867

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