Declan Aidan Caulfield
Professional Summary
Declan Aidan Caulfield is a registered financial advisor currently at CUMBERLAND SECURITIES LLC located in Chicago, Illinois. Declan is registered as a RR (Registered Representative) and started their career in finance in 2005. Declan has worked at 7 firms and has passed the Series 57TO, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
J.P. MORGAN SECURITIES LLC
VERTEX PARTNERS
INDEPENDENT FINANCIAL GROUP, LLC
EDWARD JONES
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
J.P. MORGAN SECURITIES LLC
VERTEX PARTNERS
INDEPENDENT FINANCIAL GROUP, LLC
EDWARD JONES
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
J.P. MORGAN SECURITIES LLC
VERTEX PARTNERS
INDEPENDENT FINANCIAL GROUP, LLC
EDWARD JONES
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
J.P. MORGAN SECURITIES LLC
VERTEX PARTNERS
INDEPENDENT FINANCIAL GROUP, LLC
EDWARD JONES
Years of Experience
21 years in the financial services industry
Current & Past Employments
Similar Advisors
J.P. MORGAN SECURITIES LLC
VERTEX PARTNERS
INDEPENDENT FINANCIAL GROUP, LLC
EDWARD JONES
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
Similar Advisors
J.P. MORGAN SECURITIES LLC
VERTEX PARTNERS
INDEPENDENT FINANCIAL GROUP, LLC
EDWARD JONES
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.
Similar Advisors
J.P. MORGAN SECURITIES LLC
VERTEX PARTNERS
INDEPENDENT FINANCIAL GROUP, LLC
EDWARD JONES
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.
SRO Registrations
Similar Advisors
J.P. MORGAN SECURITIES LLC
VERTEX PARTNERS
INDEPENDENT FINANCIAL GROUP, LLC
EDWARD JONES
CRS (Client Relationship Summary) - BD
Click below to view Declan Aidan Caulfield's CRS (Customer Relationship Summary).
Similar Advisors
J.P. MORGAN SECURITIES LLC
VERTEX PARTNERS
INDEPENDENT FINANCIAL GROUP, LLC
EDWARD JONES
