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JC

J Alexander Caldwell

EFG PRIVATE WEALTH MANAGEMENT (AMERICAS)
MIAMI, FL 33131
Some features on this profile are disabled
CRD#: 3037894
JC

Professional summary

J Alexander Caldwell, who also goes by Al Caldwell, J Alexander Caldwell, is a registered financial advisor currently at EFG PRIVATE WEALTH MANAGEMENT (AMERICAS) CORP. located in Miami, Florida and EFG CAPITAL INTERNATIONAL located in Miami, Florida.

J Alexander is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. J Alexander has worked at 4 firms and has passed the Series 66, Series 63, Series 6TO, Series 52TO, Series 99TO, SIE, Series 7, Series 26, Series 4, Series 27, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Al Caldwell | J Alexander 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view J Alexander Caldwell's CRS (Customer Relationship Summary).
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®
None

Experience

Current

November 12, 2019 - Present

EFG PRIVATE WEALTH MANAGEMENT (AMERICAS) CORP.

Office #1: 701 Brickell Avenue Suite 1310, Miami, FL 33131
RIA
CRD#: 158905
MIAMI, FL
Current

November 5, 1998 - Present

EFG CAPITAL INTERNATIONAL

Office #1: 701 Brickell Avenue 9th Floor, Miami, FL 33131
BD
CRD#: 40118
Miami, FL
Past

April 30, 2021 - July 13, 2021

EFG CAPITAL INTERNATIONAL

RIA
CRD#: 40118
Miami, FL
Past

July 11, 2016 - February 22, 2019

EFG CAPITAL ADVISORS INC.

RIA
CRD#: 112224
MIAMI, FL
Past

May 25, 2012 - November 6, 2014

EFG CAPITAL ADVISORS LLC

RIA
CRD#: 145208
MIAMI, 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".
EP
EFG PRIVATE WEALTH MANAGEMENT (AMERICAS) CORP.
EFG ASSET MANAGEMENT (AMERICAS) CORP | EFG PRIVATE WEALTH MANAGEMENT (AMERICAS) CORP. | EFG ASSET MANAGEMENT (US) CORP | EFG ASSET MANAGEMENT (AMERICAS) CORP.

CRD#: 158905 / SEC#: 801-72773

RIA
Registered Investment Advisory firm - (10/3/2011 Approved)

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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(12/6/2000)
IAR
California
(11/12/2019)
RR
Florida
(12/7/2000)
IAR
Florida
(12/4/2019)
RR
New York
(12/6/2000)
RR
Texas
(6/26/2003)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/13/2011
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/14/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/9/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 1/2/2023
Investment Company Products/Variable Contracts Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/30/1998
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 6/8/1998
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 4/28/1998
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/22/1998
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

EP
EFG PRIVATE WEALTH MANAGEMENT (AMERICAS) CORP.
EFG ASSET MANAGEMENT (AMERICAS) CORP | EFG PRIVATE WEALTH MANAGEMENT (AMERICAS) CORP. | EFG ASSET MANAGEMENT (US) CORP | EFG ASSET MANAGEMENT (AMERICAS) CORP.

CRD#: 158905 / SEC#: 801-72773

RIA
Registered Investment Advisory firm - (10/3/2011 Approved)
PREMIUM
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Contact information

Main Address
701 Brickell Avenue Suite 1310, Miami, FL 33131
Mailing Address
Phone number
(305) 482-8000
Established
Firm type
Fiscal year end
# of Employees
44

SEC notice filing (5 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

EFGAM WRAP FEE PROGRAM BROCHURE NOVEMBER 2024 (12/10/2025)
EFGAM FORM ADV 2A OCTOBER 2025 (12/10/2025)

Regulatory assets under management

Total Number of Accounts678
AUM (Assets Under Management)$ 1,915,401,213

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

EFG PRIVATE WEALTH MANAGEMENT (AMERICAS) CORP.

CRD#: 158905Miami, FL 33131

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