Christopher Robert Caldwell
Professional Summary
Christopher Robert Caldwell, who also goes by Chris R Caldwell, Christopher R Caldwell, is a registered financial advisor currently at DRW SECURITIES, L.L.C. located in Chicago, Illinois and DRW EXECUTION SERVICES, LLC located in Chicago, Illinois. Christopher is registered as a RR (Registered Representative) and started their career in finance in 2000. Christopher has worked at 8 firms and has passed the Series 63, Series 65, Series 57TO, Series 99TO, SIE, Series 7, Series 6,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Chris R Caldwell, Christopher R Caldwell
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
26 years in the financial services industry
Current & Past Employments
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Current Firm
A&A SECURITIES LLC | NORTH SUFFOLK WEALTH MANAGEMENT | JAMES W. HUMBARD | HUMBARD, JAMES W. | CUMBERLAND SECURITIES LLC | A&A SECUTITIES LLC
Contact Information
Main Address
540 W. Madison St., Chicago, IL 60540Mailing Address
540 W. Madison St., Chicago, IL 60540Phone Number
(312) 542-1000Established
Washington since 07/14/2010Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jun 2000About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Christopher Robert Caldwell's CRS (Customer Relationship Summary).
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