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HC

Hailey Caldwell

LPL FINANCIAL
NAMPA, ID
Some features on this profile are disabled
CRD#: 6726161
HC

Professional summary

Hailey Caldwell, who also goes by Hailey Marie Caldwell, Hailey Marie Larson, is a registered financial professional currently at LPL FINANCIAL LLC located in Nampa, Idaho and LPL ENTERPRISE, LLC located in Nampa, Idaho.

Hailey is registered as a RR (Registered Representative) and started their career in finance in 2019. Hailey has worked at 3 firms and has passed the Series 63, Series 99TO, Series 52TO, Series 7TO, SIE, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Hailey Marie Caldwell | Hailey Marie Larson

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) - BD

Click below to view Hailey 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

December 12, 2021 - Present

LPL FINANCIAL LLC

RIA
BD
CRD#: 6413
NAMPA, ID
Current

October 29, 2024 - Present

LPL ENTERPRISE, LLC

RIA
BD
CRD#: 8733
NAMPA, ID
Past

October 29, 2019 - December 6, 2021

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
Meridian, ID

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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)
California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)
Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)
Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Alabama
(12/12/2021)
RR
Alaska
(12/12/2021)
RR
Arizona
(12/12/2021)
RR
Arkansas
(12/12/2021)
RR
California
(12/12/2021)
RR
Colorado
(12/12/2021)
RR
Connecticut
(12/12/2021)
RR
Delaware
(12/12/2021)
RR
District of Columbia
(12/12/2021)
RR
Florida
(12/12/2021)
RR
Georgia
(12/12/2021)
RR
Hawaii
(12/12/2021)
RR
Idaho
(12/12/2021)
RR
Illinois
(12/12/2021)
RR
Indiana
(12/12/2021)
RR
Iowa
(12/12/2021)
RR
Kansas
(12/12/2021)
RR
Kentucky
(12/12/2021)
RR
Louisiana
(12/12/2021)
RR
Maine
(12/12/2021)
RR
Maryland
(12/12/2021)
RR
Massachusetts
(12/12/2021)
RR
Michigan
(12/12/2021)
RR
Minnesota
(12/12/2021)
RR
Mississippi
(12/12/2021)
RR
Missouri
(12/12/2021)
RR
Montana
(12/12/2021)
RR
Nebraska
(1/3/2022)
RR
Nevada
(12/12/2021)
RR
New Hampshire
(12/12/2021)
RR
New Jersey
(12/12/2021)
RR
New Mexico
(12/12/2021)
RR
New York
(12/12/2021)
RR
North Carolina
(12/13/2021)
RR
North Dakota
(12/12/2021)
RR
Ohio
(12/13/2021)
RR
Oklahoma
(12/12/2021)
RR
Oregon
(12/12/2021)
RR
Pennsylvania
(12/12/2021)
RR
Puerto Rico
(12/12/2021)
RR
Rhode Island
(12/12/2021)
RR
South Carolina
(12/12/2021)
RR
South Dakota
(12/12/2021)
RR
Tennessee
(12/12/2021)
RR
Texas
(12/12/2021)
RR
Utah
(12/12/2021)
RR
Vermont
(12/12/2021)
RR
Virgin Islands
(12/12/2021)
RR
Virginia
(12/12/2021)
RR
Washington
(12/12/2021)
RR
West Virginia
(12/12/2021)
RR
Wisconsin
(12/12/2021)
RR
Wyoming
(12/12/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 3/4/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 10/29/2024
Operations Professional Examination
General Industry/Product Exam
RR
Series 52TO
Date: 10/31/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/29/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/14/2019
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 53
Date: 4/13/2022
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/20/2019
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)
California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)
Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)
Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
LPL HOLDINGS, INC.MANAGING MEMBER
HORAN-ADAMS, KIRBY LEPAKCHIEF EXECUTIVE OFFICER. PRESIDENT5097259
MALFITANO, STEVEN THOMASPRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP3178848
MORNINGSTAR, MATTHEW EDWINCHIEF LEGAL OFFICER2510742
SHEEHAN, RICHARD STEVENSVP, CHIEF COMPLIANCE OFFICER3096567

Regulatory assets under management

Total Number of Accounts114,002
AUM (Assets Under Management)$ 18,862,098,900

Disclosures

Regulatory Event3

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
06/25/2025
Cover Page
Report

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.

Company Information

LPL ENTERPRISE, LLC

CRD#: 8733Nampa, ID

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