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Colin T. Caldwell
CALDWELL ADVISORS
Brentwood, TN 37027
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CRD#: 6341330
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Professional summary
Colin T Caldwell is a registered financial advisor currently at CALDWELL ADVISORS, LLC located in Brentwood, Tennessee and LPL FINANCIAL LLC located in Brentwood, Tennessee.
Colin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2025. Colin has worked at 2 firms and has passed the Series 66, Series 7TO and SIE 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.
CRS (Client Relationship Summary) - RIA
Click below to view Colin T 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®
NoneExperience
Current
May 9, 2025 - Present
CALDWELL ADVISORS, LLC
Office #1: 5210 Maryland Way Ste 202, Brentwood, TN 37027RIA
CRD#: 144408
Brentwood, TN
Current
March 20, 2025 - Present
LPL FINANCIAL LLC
Office #1: 5210 Maryland Way Suite 202, Brentwood, TN 37027RIA
BD
CRD#: 6413
Brentwood, TN
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".
CA
CALDWELL ADVISORS, LLC
AARON ZAUNER | SCHILLING INVESTMENT CONSULTANTS, LLC | RYAN K. SNOVER/RIVERROCK CAPITAL GROUP, LLC | JOHN W. COBB/VALUES BASED PLANNING, LLC | JOHN COBB | DAVID STEINFELD | CALDWELL ADVISORS, LLC | BEVERLY O. DAVIS | BENTLEY LONDON | ALAN A. COSTA / THE HARPETH FINANCIAL GROUP
CRD#: 144408 / SEC#: 801-106730
RIA
Registered Investment Advisory firm - (11/18/2015 Approved)Tennessee
Registered Investment Advisory firm - (1/11/2016 Terminated)Texas
Registered Investment Advisory firm - (1/8/2016 Terminated)Virginia
Registered Investment Advisory firm - (12/10/2013 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Tennessee(5/6/2025)
IAR
Tennessee(5/9/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/20/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CA
CALDWELL ADVISORS, LLC
AARON ZAUNER | SCHILLING INVESTMENT CONSULTANTS, LLC | RYAN K. SNOVER/RIVERROCK CAPITAL GROUP, LLC | JOHN W. COBB/VALUES BASED PLANNING, LLC | JOHN COBB | DAVID STEINFELD | CALDWELL ADVISORS, LLC | BEVERLY O. DAVIS | BENTLEY LONDON | ALAN A. COSTA / THE HARPETH FINANCIAL GROUP
CRD#: 144408 / SEC#: 801-106730
RIA
Registered Investment Advisory firm - (11/18/2015 Approved)Tennessee
Registered Investment Advisory firm - (1/11/2016 Terminated)Texas
Registered Investment Advisory firm - (1/8/2016 Terminated)Virginia
Registered Investment Advisory firm - (12/10/2013 Terminated)PREMIUM
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Contact information
Main Address
5210 Maryland Way Ste 202, Brentwood, TN 37027
Mailing Address
Phone number
(615) 370-8988
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 493 |
| AUM (Assets Under Management) | $ 339,088,296 |
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.
