Jason C. Caldwell
Professional summary
Jason Charles Caldwell, who also goes by Trey Caldwell, is a registered financial professional currently at TRANSAMERICA INVESTORS SECURITIES, LLC located in Harrison, New York.
Jason is registered as a RR (Registered Representative) and started their career in finance in 1999. Jason has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jason Charles Caldwell's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 1, 2019 - Present
TRANSAMERICA INVESTORS SECURITIES, LLC
Office #1: 440 Mamaroneck Avenue, Harrison, NY 10528January 4, 2017 - July 1, 2019
TRANSAMERICA CAPITAL, LLC
June 6, 2012 - January 4, 2017
TRANSAMERICA INVESTORS SECURITIES, LLC
February 8, 2011 - May 21, 2012
LINCOLN FINANCIAL DISTRIBUTORS, INC.
March 2, 2009 - January 7, 2011
GUARDIAN INVESTOR SERVICES LLC
January 1, 2009 - February 18, 2009
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
August 12, 2004 - January 1, 2009
HIMCO DISTRIBUTION SERVICES COMPANY
December 21, 2001 - August 18, 2004
WELLS FARGO INVESTMENTS, LLC
December 21, 2001 - August 18, 2004
WELLS FARGO INVESTMENTS, LLC
September 1, 1999 - January 7, 2002
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/1/2019)
Exams
FINRA
Current Firm
TRANSAMERICA INVESTORS SECURITIES, LLC
CRD#: 32205 / SEC#: , 8-45671
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRANSAMERICA RETIREMENT SOLUTIONS, LLC | SHAREHOLDER | |
| BEITZEL, BRIAN | MANAGER, TREASURER, AND FINANCIAL PRINCIPAL | 6183770 |
| HEWITT, JAY ALLEN | MANAGER AND VICE PRESIDENT | 1687429 |
| HOLGATE, GREGG WILLIAM | PRESIDENT AND CHAIRMAN OF THE BOARD OF MANAGERS | 2818725 |
| POWERS, MARK JUDSON | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6173588 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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