TC
Timothy J. Caldwell
KESTRA ADVISORY SERVICES
GREENSBURG, PA 15601
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CRD#: 4028338
TC
Professional summary
Timothy James Caldwell is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Greensburg, Pennsylvania and KESTRA INVESTMENT SERVICES, LLC located in Greensburg, Pennsylvania.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Timothy has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Business Name: KBG Realty, LLC Investment Related: No Address: 314 Old Route 30 Greensburg PA 15601 Nature of Business: Real Estate Position, Title or Relationship: Partner Start Date: 2/1/2015 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: PartnerBusiness Name: Keystone Benefits Group Investment Related: Yes Address: 314 Old Route 30 Greensburg PA 15601 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance Position, Title or Relationship: Vice President Start Date: 1/1/2004 Hours per month: 71% - 80% (113 - 128 hours) Hours per month during trading hours: 71% - 80% (99 - 112 hours) Duties: I provide consulting services to our clients in regards to their retirement and medical plans. I also sell some individual life insurance products.Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services
CRS (Client Relationship Summary) - RIA
Click below to view Timothy James Caldwell'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
April 19, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 314 Old Route 30, Greensburg, PA 15601RIA
CRD#: 283330
GREENSBURG, PA
Current
January 27, 2012 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 314 Old Route 30, Greensburg, PA 15601BD
CRD#: 42046
Greensburg, PA
Past
January 27, 2012 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
AUSTIN, TX
Past
March 18, 2010 - January 30, 2012
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
GREENSBURG, PA
Past
October 25, 2004 - January 30, 2012
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
GREENSBURG, PA
Past
August 1, 2003 - November 5, 2004
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
September 29, 1999 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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
Arizona(10/23/2025)
RR
California(1/31/2012)
RR
Delaware(11/8/2020)
RR
District of Columbia(1/31/2012)
RR
Florida(1/31/2012)
RR
Georgia(1/31/2012)
RR
New York(1/31/2012)
RR
North Carolina(1/31/2012)
RR
Ohio(1/31/2012)
RR
Pennsylvania(1/27/2012)
IAR
Pennsylvania(4/19/2016)
RR
South Carolina(1/31/2012)
RR
Texas(9/17/2025)
IAR
Texas(9/18/2025)
RR
Virginia(1/31/2012)
RR
West Virginia(1/27/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330Greensburg, PA 15601TRUST BUT VERIFY
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