Ryan G. Caldwell

AIML TRADING PARTNERS

Cold Spring Harbor, NY 11724

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CRD#: 6642132

Professional summary

Ryan Gregory Caldwell is a registered financial advisor currently at AIML TRADING PARTNERS located in Cold Spring Harbor, New York.

Ryan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Ryan has worked at 2 firms and has passed the Series 66, SIE and Series 7 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.

*417211 - Relentless Mastery LLC; Investment related - Yes; Huntington, New York; Investment/Finance/Banking; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 11/2020; During business hours: 0; After business hours: 30; Investment Decisions/Advice

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ryan Gregory Caldwell's CRS (Customer Relationship Summary).

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

June 17, 2024 - Present

AIML TRADING PARTNERS

Office #1: 43 Main St, Cold Spring Harbor, NY 11724

RIA

CRD#: 331742

Cold Spring Harbor, NY

Past

January 29, 2018 - June 22, 2023

MORGAN STANLEY

RIA

CRD#: 149777

New York, NY

Past

December 22, 2017 - June 22, 2023

MORGAN STANLEY

CRD#: 149777

New York, NY

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

New York
(6/17/2024)

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: 1/26/2018

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: 12/22/2017

General Securities Representative Examination

Current Firm

AIML TRADING PARTNERS

AIML TRADING PARTNERS | AIML TRADING PARTNERS LLC

CRD#: 331742 / SEC#: 801-130982

RIA

Registered Investment Advisory firm - (6/6/2025 Terminated)

New York

Registered Investment Advisory firm - (6/17/2024 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

43 Main St 3rd Floor, Cold Spring Harbor, NY 11724

Mailing Address

Phone number

(631) 944-5699

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	5
AUM (Assets Under Management)	$ 2,500,000

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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Ryan G. Caldwell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ryan Gregory Caldwell's CRS (Customer Relationship Summary).

Certified licenses

Experience

AIML TRADING PARTNERS

MORGAN STANLEY

MORGAN STANLEY

State Registrations and Notice Filings

Exams

Series 66

Date: 1/26/2018

SIE

Date: 10/1/2018

Series 7

Date: 12/22/2017

Current Firm

AIML TRADING PARTNERS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

AIML TRADING PARTNERS

TRUST BUT VERIFY

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