Gregory Robert Caldwell
Professional Summary
Gregory Robert Caldwell, who also goes by Greg R Caldwell, is a registered financial advisor currently at SUMMIT GLOBAL INVESTMENTS, LLC located in Centennial, Colorado and EQUITY SERVICES, INC. located in Centennial, Colorado. Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Gregory has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Greg R Caldwell
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
Website
xxxxxxxxxx.xxx
Languages
xxxxxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
8 years in the financial services industry
Current & Past Employments
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Current Firm
HARDEN, DAVID | SUMMIT GLOBAL PRIVATE WEALTH | SUMMIT GLOBAL INVESTMENTS, LLC | SUMMIT GLOBAL INVESTMENTS
Contact Information
Main Address
620 South Main Street, Bountiful, UT 84010Mailing Address
620 South Main Street, Bountiful, UT 84010Phone Number
(888) 251-4847# of Employees
37SEC notice filing (44 States and Territories)
Registered to provide investment advisory services in 44 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
10,822AUM (Assets Under Management)
$2,291,949,405Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
HARDEN, DAVID | SUMMIT GLOBAL PRIVATE WEALTH | SUMMIT GLOBAL INVESTMENTS, LLC | SUMMIT GLOBAL INVESTMENTS
State Registrations and Notice Filings
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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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jun 2018About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Gregory Robert Caldwell's CRS (Customer Relationship Summary).
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