Sean M. Caldwell
Professional summary
Sean Michael Caldwell is a registered financial professional currently at REALTA EQUITIES, INC. located in Dallas, Texas.
Sean is registered as a RR (Registered Representative) and started their career in finance in 2015. Sean has worked at 5 firms and has passed the Series 63, SIE and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sean Michael Caldwell's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 3, 2025 - Present
REALTA EQUITIES, INC.
Office #1: 12400 Coit Road Suite 550, Dallas, TX 75251September 20, 2021 - March 31, 2025
ARETE WEALTH MANAGEMENT, LLC
November 13, 2020 - September 21, 2021
CRESCENT SECURITIES GROUP, INC.
May 5, 2020 - October 8, 2020
VENTURE.CO BROKERAGE SERVICES LLC
June 6, 2019 - March 19, 2020
CRESCENT SECURITIES GROUP, INC.
October 3, 2018 - June 6, 2019
ARETE WEALTH MANAGEMENT, LLC
January 16, 2015 - May 11, 2018
JCC CAPITAL MARKETS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/3/2025)
(4/3/2025)
Exams
FINRA
Current Firm
REALTA EQUITIES, INC.
CRD#: 23769 / SEC#: , 8-40822
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 7 |
Red Flags
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Company Information
REALTA EQUITIES, INC.
CRD#: 23769Dallas, TX 75251TRUST BUT VERIFY
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