Gregory R. Caldwell
SUMMIT GLOBAL INVESTMENTS | Financial Professional
Centennial, CO
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CRD#: 6893219
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.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Greg R Caldwell
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.
*G&G ENTERPRISES LLC. 7930 S VINCENNES WAY, CENTENNIAL CO. NOT INV REL. MARCH 2015. CONSULTING IN THE SUPPLEMENT SPACE. FOUNDER. HELP SUPPORT SUPPLEMENT COMPANIES WITH MARKETING, PRODUCTS TO STORES, MASS DISTRIBUTION. CONFINED TO THAT AREA. DURING SOME TRADE HRS. *GREG R CALDWELL - INSURANCE AGENT. 7930 S VINCENNES WAY, CENTENNIAL CO. INV REL. SEPT 2023. NON-VARIABLE INSURANCE. INS AGENT. LIFE INS, TERM, UNIVERSAL LIFE, FIXED. DURING TRADE HRS. *SUMMIT GLOBAL PRIVATE WEALTH. 7930 S VINCENNES WAY, CENTENNIAL CO. INV REL. NOV 2023. DBA FOR MARKETING PURPOSES ONLY. IAR - REGISTERED INVESTMENT ADVISOR. DURING TRADE HRS. *SUMMIT GLOBAL INVESTMENTS LLC. 7930 S VINCENNES WAY, CENTENNIAL CO. INV REL. NOV 2023. DBA FOR MARKETING PURPOSES ONLY. IAR - REGISTERED INVESTMENT ADVISOR. DURING TRADE HRS. *GRC FINANCIAL LLC. 7930 S VINCENNES WAY, CENTENNIAL CO. NOT INV REL. FEB 2025. MANAGING MEMBER - SET UP LLC TO FILE AS AN S CORP AS PASS-THROUGH FOR TAXES FROM MY 1099. NOT DURING TRADE HRS.
CRS (Client Relationship Summary) - RIA
Click below to view Gregory Robert Caldwell's 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®
NoneExperience
Current
October 26, 2023 - Present
SUMMIT GLOBAL INVESTMENTS, LLC
RIA
CRD#: 157091
Centennial, CO
Current
August 26, 2025 - Present
EQUITY SERVICES, INC.
Office #1: 7930 S Vincennes Way, Centennial, CO 80112RIA
BD
CRD#: 265
CENTENNIAL, CO
Past
November 30, 2023 - September 3, 2025
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
CENTENNIAL, CO
Past
June 18, 2018 - September 22, 2023
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
GREENWOOD VILLAGE, CO
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".
SG
SUMMIT GLOBAL INVESTMENTS, LLC
HARDEN, DAVID | SUMMIT GLOBAL PRIVATE WEALTH | SUMMIT GLOBAL INVESTMENTS, LLC | SUMMIT GLOBAL INVESTMENTS
CRD#: 157091 / SEC#: 801-76631
RIA
Registered Investment Advisory firm - (5/10/2012 Approved)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.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
IAR
Arizona(3/6/2025)
RR
Arizona(8/26/2025)
IAR
California(1/31/2025)
RR
California(8/26/2025)
IAR
Colorado(10/26/2023)
RR
Colorado(8/26/2025)
RR
Connecticut(9/15/2025)
IAR
Florida(3/26/2025)
RR
Florida(8/26/2025)
RR
Illinois(8/26/2025)
RR
Michigan(8/26/2025)
RR
New Hampshire(8/26/2025)
RR
North Carolina(8/26/2025)
RR
North Dakota(8/26/2025)
RR
Ohio(8/27/2025)
RR
Pennsylvania(8/26/2025)
RR
South Carolina(8/26/2025)
RR
South Dakota(8/26/2025)
RR
Tennessee(8/26/2025)
IAR
Texas(2/27/2025)
RR
Texas(8/26/2025)
RR
Utah(8/26/2025)
RR
Virginia(8/26/2025)
RR
Wisconsin(8/26/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SG
SUMMIT GLOBAL INVESTMENTS, LLC
HARDEN, DAVID | SUMMIT GLOBAL PRIVATE WEALTH | SUMMIT GLOBAL INVESTMENTS, LLC | SUMMIT GLOBAL INVESTMENTS
CRD#: 157091 / SEC#: 801-76631
RIA
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Contact information
Main Address
620 South Main Street, Bountiful, UT 84010
Mailing Address
620 South Main Street, Bountiful, UT 84010
Phone number
(888) 251-4847
Established
Firm type
Fiscal year end
# of Employees
32
SEC notice filing (43 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,923 |
| AUM (Assets Under Management) | $ 1,921,141,101 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SUMMIT GLOBAL INVESTMENTS, LLC
Financial ProfessionalCRD#: 157091Centennial, COTRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
xxxxxxx
