SC
Scott R. Caulfield
FRANKLIN DISTRIBUTORS
Short Hills, NJ 07078
Some features on this profile are disabled
CRD#: 3113079
SC
Professional summary
Scott Richard Caulfield is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in Short Hills, New Jersey.
Scott is registered as a RR (Registered Representative) and started their career in finance in 1998. Scott has worked at 6 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 7 and Series 31 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.
CRS (Client Relationship Summary) - BD
Click below to view Scott Richard Caulfield'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®
NoneExperience
Current
January 13, 2022 - Present
FRANKLIN DISTRIBUTORS, LLC
Office #1: 101 John F. Kennedy Parkway, Short Hills, NJ 07078BD
CRD#: 109064
Short Hills, NJ
Past
December 8, 2006 - December 31, 2008
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
ENGLEWOOD, CO
Past
July 31, 2006 - December 31, 2008
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
ENGLEWOOD, CO
Past
October 9, 2001 - January 8, 2002
KELMOORE INVESTMENT COMPANY, INC.
BD
CRD#: 22509
PALO ALTO, CA
Past
May 5, 2000 - May 25, 2001
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
June 11, 1999 - March 10, 2000
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
September 21, 1998 - February 22, 1999
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(1/28/2022)
RR
Alaska(1/28/2022)
RR
Arizona(1/28/2022)
RR
Arkansas(1/28/2022)
RR
California(1/28/2022)
RR
Colorado(1/28/2022)
RR
Connecticut(1/28/2022)
RR
Delaware(1/28/2022)
RR
District of Columbia(1/28/2022)
RR
Florida(1/28/2022)
RR
Georgia(1/28/2022)
RR
Hawaii(1/28/2022)
RR
Idaho(1/28/2022)
RR
Illinois(1/28/2022)
RR
Indiana(1/28/2022)
RR
Iowa(1/28/2022)
RR
Kansas(1/28/2022)
RR
Kentucky(1/28/2022)
RR
Louisiana(1/28/2022)
RR
Maine(1/28/2022)
RR
Maryland(1/28/2022)
RR
Massachusetts(1/28/2022)
RR
Michigan(1/28/2022)
RR
Minnesota(1/28/2022)
RR
Mississippi(1/28/2022)
RR
Missouri(1/28/2022)
RR
Montana(1/28/2022)
RR
Nebraska(1/28/2022)
RR
Nevada(1/28/2022)
RR
New Hampshire(1/28/2022)
RR
New Jersey(1/28/2022)
RR
New Mexico(1/28/2022)
RR
New York(1/28/2022)
RR
North Carolina(1/28/2022)
RR
North Dakota(1/28/2022)
RR
Ohio(1/28/2022)
RR
Oklahoma(1/28/2022)
RR
Oregon(1/28/2022)
RR
Pennsylvania(1/28/2022)
RR
Puerto Rico(1/28/2022)
RR
Rhode Island(1/28/2022)
RR
South Carolina(1/28/2022)
RR
South Dakota(1/28/2022)
RR
Tennessee(1/28/2022)
RR
Texas(1/28/2022)
RR
Utah(1/28/2022)
RR
Vermont(1/28/2022)
RR
Virgin Islands(1/28/2022)
RR
Virginia(1/28/2022)
RR
Washington(1/28/2022)
RR
West Virginia(1/28/2022)
RR
Wisconsin(1/28/2022)
RR
Wyoming(1/28/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/13/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FD
FRANKLIN DISTRIBUTORS, LLC
FRANKLIN DISTRIBUTORS, LLC | UNIFIED DISTRIBUTORS LLC | LEGG MASON INVESTORS SERVICES, LLC | LEGG MASON INVESTOR SERVICES, LLC | LATINVALLEY SECURITIES LLC
CRD#: 109064 / SEC#: , 8-53089
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information
Main Address
One Franklin Parkway, San Mateo, CA 94403
Mailing Address
1201 Wills Street, Baltimore, MD 21231
Phone number
(800) 632-2350
Established
Delaware since 12/01/2000
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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.
