Samuel T. Caldwell
Professional summary
Samuel Tyler Caldwell, who also goes by Samuel Tyler Caldwell, is a registered financial professional currently at WELLS FARGO SECURITIES, LLC located in New York, New York.
Samuel is registered as a RR (Registered Representative) and started their career in finance in 2018. Samuel has worked at 3 firms and has passed the Series 63, Series 79TO, SIE, Series 52 and Series 50 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Samuel Tyler Caldwell's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 14, 2024 - Present
WELLS FARGO SECURITIES, LLC
Office #1: 500 W 33rd St 30 Hudson Yards, New York, NY 10001April 15, 2021 - September 13, 2023
CITIGROUP GLOBAL MARKETS INC.
July 30, 2018 - March 29, 2021
PIPER SANDLER & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/14/2024)
Exams
Series 79TO
Date: 8/9/2021
Investment Banking Registered Representative ExaminationFINRA
NYSE American LLC
NYSE National, Inc.
New York Stock Exchange
Current Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
Red Flags
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