Caleb J. Brown

FOSTER GROUP

West Des Moines, IA 50266

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CRD#: 4661578

Professional summary

Caleb James Brown, CFP® is a registered financial advisor currently at FOSTER GROUP, INC. located in West Des Moines, Iowa.

Caleb is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Caleb has worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 6 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caleb James Brown's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2016

Experience

Current

November 12, 2014 - Present

FOSTER GROUP, INC.

Office #1: 6601 Westown Parkway Suite 100, West Des Moines, IA 50266

RIA

CRD#: 107148

West Des Moines, IA

Past

October 31, 2007 - July 30, 2014

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

May 24, 2007 - October 16, 2007

DIRECTED SERVICES LLC

CRD#: 21675

DES MOINES, IA

Past

June 4, 2004 - November 25, 2005

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

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".

FOSTER GROUP, INC.

FOSTER CAPITAL MANAGEMENT INC | FOSTER GROUP, INC.

CRD#: 107148 / SEC#: 801-38507

RIA

Registered Investment Advisory firm - (5/30/1991 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.

Highlighted states indicate IAR registrations

IAR

Illinois
(3/6/2018)

IAR

Iowa
(11/12/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/12/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/13/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/27/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/3/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FOSTER GROUP, INC.

FOSTER CAPITAL MANAGEMENT INC | FOSTER GROUP, INC.

CRD#: 107148 / SEC#: 801-38507

RIA

Registered Investment Advisory firm - (5/30/1991 Approved)

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Contact information

Main Address

6601 Westown Parkway Suite 100, West Des Moines, IA 50266

Mailing Address

Phone number

(515) 226-9000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (29 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART IIA FOSTER GROUP, INC. (6/17/2025)

Regulatory assets under management

Total Number of Accounts	5,481
AUM (Assets Under Management)	$ 3,542,998,153

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/18/2025	Cover Page	Report
09/16/2024	Cover Page	Report
01/22/2024	Cover Page	Report
11/23/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Caleb J. Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caleb James Brown's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRINCIPAL SECURITIES, INC.

DIRECTED SERVICES LLC

VOYA FINANCIAL PARTNERS, LLC

Primary Firm SEC Registration

FOSTER GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/12/2014

Series 63

Date: 11/13/2007

Series 7

Date: 2/27/2009

Series 6

Date: 6/3/2004

Current Firm

FOSTER GROUP, INC.

Contact information

SEC notice filing (29 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FOSTER GROUP, INC.

TRUST BUT VERIFY

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