Quincy D. Caldwell

EMPIRIKAL PARTNERS LLC

KATY, TX

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CRD#: 5583424

Professional summary

Quincy Deearl Caldwell, who also goes by Quincy De Earl Caldwell, Quincy De'earl Caldwell, is a registered financial advisor currently at EMPIRIKAL PARTNERS LLC located in Katy, Texas.

Quincy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Quincy has worked at 8 firms and has passed the Series 66, Series 52TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Quincy De Earl Caldwell | Quincy De'earl Caldwell

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 Quincy Deearl Caldwell's 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

January 9, 2023 - Present

EMPIRIKAL PARTNERS LLC

RIA

CRD#: 282691

KATY, TX

Past

October 2, 2020 - January 2, 2023

SUPREME ALLIANCE LLC

RIA

CRD#: 45348

Katy, TX

Past

October 1, 2020 - January 2, 2023

SUPREME ALLIANCE LLC

CRD#: 45348

Katy, TX

Past

October 7, 2013 - October 19, 2018

PLANMEMBER SECURITIES CORPORATION

RIA

CRD#: 11869

Katy, TX

Past

October 7, 2013 - October 19, 2018

PLANMEMBER SECURITIES CORPORATION

CRD#: 11869

Katy, TX

Past

April 9, 2013 - October 7, 2013

VERITRUST FINANCIAL, LLC

RIA

CRD#: 106594

KATY, TX

Past

April 9, 2013 - October 7, 2013

VERITRUST FINANCIAL, LLC

CRD#: 106594

AUSTIN, TX

Past

December 19, 2011 - June 4, 2013

RIDGEWAY CONGER ADVISORY SERVICES

RIA

CRD#: 139372

KATY, TX

Past

November 17, 2011 - June 4, 2013

RIDGEWAY & CONGER, INC.

CRD#: 113055

NEW WOODSTOCK, NY

Past

March 22, 2011 - September 12, 2011

VERITRUST FINANCIAL, LLC

RIA

CRD#: 106594

KATY, TX

Past

March 22, 2011 - September 12, 2011

VERITRUST FINANCIAL, LLC

CRD#: 106594

AUSTIN, TX

Past

September 16, 2010 - March 22, 2011

WESTPARK WEALTH ADVISORS, INC.

RIA

CRD#: 130914

HOUSTON, TX

Past

June 14, 2010 - March 22, 2011

IMS SECURITIES, INC.

CRD#: 35567

HOUSTON, TX

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

Texas
(1/9/2023)

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 66

Date: 9/11/2010

Uniform Combined State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/12/2010

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/9/2020

General Securities Principal Examination

Current Firm

EMPIRIKAL PARTNERS LLC

EMPIRIKAL PARTNERS LLC | MONZON WEALTH

CRD#: 282691 / SEC#:

Arizona

Registered Investment Advisory firm - (9/7/2016 Approved)

California

Registered Investment Advisory firm - (6/5/2020 Approved)

Colorado

Registered Investment Advisory firm - (7/31/2024 Terminated)

Florida

Registered Investment Advisory firm - (10/28/2020 Approved)

Georgia

Registered Investment Advisory firm - (5/18/2022 Approved)

Maryland

Registered Investment Advisory firm - (3/4/2024 Approved)

Mississippi

Registered Investment Advisory firm - (7/31/2024 Terminated)

New Jersey

Registered Investment Advisory firm - (7/16/2020 Approved)

New York

Registered Investment Advisory firm - (10/12/2022 Approved)

Oklahoma

Registered Investment Advisory firm - (11/17/2025 Terminated)

Texas

Registered Investment Advisory firm - (6/19/2020 Approved)

Wyoming

Registered Investment Advisory firm - (5/11/2020 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Phoenix, AZ

Mailing Address

Phone number

(480) 558-6167

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	170
AUM (Assets Under Management)	$ 88,000,000

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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Firm Stability Insights

Quincy D. Caldwell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Quincy Deearl Caldwell's CRS (Customer Relationship Summary).

Certified licenses

Experience

SUPREME ALLIANCE LLC

SUPREME ALLIANCE LLC

PLANMEMBER SECURITIES CORPORATION

PLANMEMBER SECURITIES CORPORATION

VERITRUST FINANCIAL, LLC

VERITRUST FINANCIAL, LLC

RIDGEWAY CONGER ADVISORY SERVICES

RIDGEWAY & CONGER, INC.

VERITRUST FINANCIAL, LLC

VERITRUST FINANCIAL, LLC

WESTPARK WEALTH ADVISORS, INC.

IMS SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/11/2010

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/12/2010

Series 24

Date: 12/9/2020

Current Firm

EMPIRIKAL PARTNERS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

EMPIRIKAL PARTNERS LLC

TRUST BUT VERIFY

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