Levert Caldwell
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.
Levert Caldwell, who also goes by Lee Caldwell, Levert Caldwell III, Trey Caldwell, was a registered financial advisor .
Levert is a previously registered financial advisor and started their career in finance in 2001. Levert had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2019 - March 5, 2020
PAULSON INVESTMENT COMPANY LLC
March 17, 2015 - May 30, 2019
FIRST STANDARD FINANCIAL COMPANY LLC
June 20, 2012 - March 31, 2015
NATIONAL SECURITIES CORPORATION
June 7, 2010 - June 20, 2012
BROOKSTONE SECURITIES, INC.
October 9, 2007 - May 24, 2010
NFSG CORPORATION
September 24, 2007 - May 24, 2010
NEWBRIDGE SECURITIES CORPORATION
May 11, 2005 - September 16, 2005
MORGAN STANLEY DW INC.
April 5, 2005 - September 16, 2005
MORGAN STANLEY DW INC.
June 17, 2004 - September 30, 2004
LH ROSS & COMPANY, INC.
November 7, 2003 - June 18, 2004
FIRST MONTAUK SECURITIES CORP.
April 30, 2001 - October 2, 2003
TD AMERITRADE, 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
Current Firm
PAULSON INVESTMENT COMPANY LLC
CRD#: 5670 / SEC#: 801-107194, 8-26807
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAULSON CAPITAL HOLDING COMPANY, LLC | OWNER | |
| CLARK, CHRISTOPHER STEVEN | CHAIRMAN, ELECTED MANAGER | 1952666 |
| PARIGIAN, THOMAS STEWART | ELECTED MANAGER | 1398840 |
| SETTEDUCATI, ROBERT JOSEPH | ELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT | 1352722 |
| DAVIS, TRENT DONALD | CHIEF EXECUTIVE OFFICER | 2137171 |
| RASMUSSEN, KATHLEEN HATLELI | CHIEF COMPLIANCE OFFICER | 2608755 |
| WINKS, MALCOLM ALEXANDER | PRESIDENT AND CFO/FINOP | 5153752 |
Disclosures
| Regulatory Event | 35 |
| Civil Event | 1 |
| Arbitration | 8 |
| Bond | 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.
