Lloyd G. Caudle

MARTEL WEALTH ADVISORS

Vancouver, WA 98661

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CRD#: 4689423

Professional summary

Lloyd Grant Caudle, who also goes by Grant Caudle, is a registered financial advisor currently at MARTEL WEALTH ADVISORS INC located in Vancouver, Washington.

Lloyd is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Lloyd has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Grant Caudle

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 Lloyd Grant Caudle'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®

None

Experience

Current

August 2, 2018 - Present

MARTEL WEALTH ADVISORS INC

Office #1: 2001 Se Columbia River Drive Ste 200, Vancouver, WA 98661

RIA

CRD#: 296896

Vancouver, WA

Past

January 22, 2018 - December 31, 2018

KMS FINANCIAL SERVICES, INC.

RIA

CRD#: 3866

VANCOUVER, WA

Past

January 19, 2018 - December 31, 2018

KMS FINANCIAL SERVICES, INC.

CRD#: 3866

VANCOUVER, WA

Past

January 6, 2017 - December 5, 2017

EQUITABLE DISTRIBUTORS, LLC

CRD#: 25900

CHARLOTTE, NC

Past

March 6, 2014 - July 6, 2016

NATIONWIDE INVESTMENT ADVISORS, LLC

RIA

CRD#: 142373

COLUMBUS, OH

Past

May 12, 2010 - July 6, 2016

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

January 1, 2009 - April 19, 2010

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

CRD#: 37819

HARTFORD, CT

Past

May 18, 2005 - January 1, 2009

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

HARTFORD, 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".

MARTEL WEALTH ADVISORS INC

CRD#: 296896 / SEC#: 801-113777

RIA

Registered Investment Advisory firm - (8/1/2018 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

Washington
(8/2/2018)

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: 3/16/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/7/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/27/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MARTEL WEALTH ADVISORS INC

CRD#: 296896 / SEC#: 801-113777

RIA

Registered Investment Advisory firm - (8/1/2018 Approved)

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Contact information

Main Address

2001 Se Columbia River Drive Ste 200, Vancouver, WA 98661

Mailing Address

Phone number

(360) 694-9940

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MARTEL WEALTH ADVISORS ADV PART 2A FIRM BROCHURE (2/13/2025)

Regulatory assets under management

Total Number of Accounts	2,751
AUM (Assets Under Management)	$ 1,245,269,037

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

Lloyd G. Caudle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lloyd Grant Caudle's CRS (Customer Relationship Summary).

Certified licenses

Experience

KMS FINANCIAL SERVICES, INC.

KMS FINANCIAL SERVICES, INC.

EQUITABLE DISTRIBUTORS, LLC

NATIONWIDE INVESTMENT ADVISORS, LLC

NATIONWIDE INVESTMENT SERVICES CORPORATION

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

HIMCO DISTRIBUTION SERVICES COMPANY

Primary Firm SEC Registration

MARTEL WEALTH ADVISORS INC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/16/2015

Series 63

Date: 2/7/2004

SIE

Date: 10/1/2018

Series 6

Date: 9/27/2004

Current Firm

MARTEL WEALTH ADVISORS INC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MARTEL WEALTH ADVISORS INC

TRUST BUT VERIFY

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