Scott R. Caulfield
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 Richard Caulfield was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1998. Scott had worked at 6 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2022 - April 28, 2026
FRANKLIN DISTRIBUTORS, LLC
December 8, 2006 - December 31, 2008
CHARLES SCHWAB & CO., INC.
July 31, 2006 - December 31, 2008
CHARLES SCHWAB & CO., INC.
October 9, 2001 - January 8, 2002
KELMOORE INVESTMENT COMPANY, INC.
May 5, 2000 - May 25, 2001
PRUDENTIAL EQUITY GROUP, LLC
June 11, 1999 - March 10, 2000
CITIGROUP GLOBAL MARKETS INC.
September 21, 1998 - February 22, 1999
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/13/2022
General Securities Representative ExaminationCurrent Firm
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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