Caleb B. Long
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Caleb B Long, who also goes by Caleb Long, Caleb B Long, was a registered financial professional .
Caleb is a previously registered financial professional and started their career in finance in 2019. Caleb had worked at 3 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2022 - May 30, 2025
XML FINANCIAL GROUP
November 8, 2022 - May 30, 2025
XML SECURITIES
August 9, 2019 - November 25, 2022
GOLDMAN SACHS & CO. LLC
Primary Firm SEC Registration
XML FINANCIAL GROUP
CRD#: 284987 / SEC#: 801-108376
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 8/9/2019
General Securities Representative ExaminationCurrent Firm
XML FINANCIAL GROUP
CRD#: 284987 / SEC#: 801-108376
Contact information
SEC notice filing (46 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,044 |
| AUM (Assets Under Management) | $ 2,993,236,597 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/19/2024 | ||
| 07/19/2023 | ||
| 11/21/2022 |
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.
