Richard S. Caldecott

PIVOTAL WEALTH AND TAX

PRESTON, MN 55965

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CRD#: 6191437

Professional summary

Richard Stanley Caldecott II, who also goes by Richard Stanley Caldecott II, Richard Stanley Caldecott, Richard S Caldecott Ii, Richard S Caldecott, Richard Caldecott Ii, Richard Caldecott, Richard Calecott, is a registered financial advisor currently at PIVOTAL WEALTH AND TAX located in Preston, Minnesota.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Richard has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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 Richard Stanley Caldecott II'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 2, 2026 - Present

PIVOTAL WEALTH AND TAX

Office #1: 141 Fillmore St W, Preston, MN 55965

RIA

CRD#: 321023

PRESTON, MN

Past

May 28, 2025 - October 31, 2025

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

Minneapolis, MN

Past

May 27, 2025 - October 31, 2025

MML INVESTORS SERVICES, LLC

CRD#: 10409

Minneapolis, MN

Past

August 22, 2022 - May 13, 2025

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

Roseville, MN

Past

August 22, 2022 - May 13, 2025

J.P. MORGAN SECURITIES LLC

CRD#: 79

Roseville, MN

Past

December 9, 2019 - September 9, 2022

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

EDINA, MN

Past

December 9, 2019 - September 9, 2022

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

EDINA, MN

Past

August 8, 2016 - November 13, 2019

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SAINT PAUL, MN

Past

August 8, 2016 - November 13, 2019

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SAINT PAUL, MN

Past

July 31, 2014 - July 14, 2016

OSAIC SERVICES, INC.

CRD#: 133763

FOREST LAKE, MN

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

Minnesota
(1/2/2026)

IAR

Texas
(1/2/2026)

IAR

Wisconsin
(1/2/2026)

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: 11/4/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/31/2014

General Securities Representative Examination

Current Firm

PIVOTAL WEALTH AND TAX

MAJOR AND COMPANY ACCOUNTING, TAX AND FINANCIAL SERVICES | PIVOTAL WEALTH AND TAX LLC | PIVOTAL WEALTH AND TAX

CRD#: 321023 / SEC#:

California

Registered Investment Advisory firm - (1/27/2025 Approved)

Illinois

Registered Investment Advisory firm - (1/23/2023 Approved)

Minnesota

Registered Investment Advisory firm - (1/27/2023 Approved)

Texas

Registered Investment Advisory firm - (5/13/2022 Conditional Restricted)

Wisconsin

Registered Investment Advisory firm - (5/23/2022 Approved)

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Contact information

Main Address

141 Fillmore St W, Preston, MN 55965

Mailing Address

Phone number

(507) 458-3897

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	200
AUM (Assets Under Management)	$ 13,140,000

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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Advisor Monitoring

Firm Stability Insights

Richard S. Caldecott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Stanley Caldecott II's CRS (Customer Relationship Summary).

Certified licenses

Experience

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

OSAIC SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/4/2014

SIE

Date: 10/1/2018

Series 7

Date: 7/31/2014

Current Firm

PIVOTAL WEALTH AND TAX

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PIVOTAL WEALTH AND TAX

TRUST BUT VERIFY

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