Madison Caswell

MELD FINANCIAL

Birmingham, AL 35243

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CRD#: 7045926

Professional summary

Madison Caswell, who also goes by Madison James Caswell, is a registered financial advisor currently at MELD FINANCIAL, INC. located in Birmingham, Alabama.

Madison is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Madison has worked at 2 firms and has passed the Series 65, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Madison James Caswell

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.

O'Neal Comprehensive Cancer Center Young Supporters Board; not investment related; 1824 6th Ave. S, Birmingham, AL 35233; Fundraising for Cancer Research; Member; 09/2022; 3 hrs/month; 0 hrs. during trading; work with local businesses to raise funds for cancer research

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Madison Caswell'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 14, 2021 - Present

MELD FINANCIAL, INC.

Office #1: 3008 Pump House Rd., Birmingham, AL 35243

RIA

CRD#: 118896

Birmingham, AL

Past

May 25, 2021 - October 6, 2022

TRIAD ADVISORS LLC

CRD#: 25803

BIRMINGHAM, AL

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".

MELD FINANCIAL, INC.

BROOKSTONE WEALTH MANAGEMENT | MELD FINANCIAL, INC. | FAIRWOOD FINANCIAL SERVICES

CRD#: 118896 / SEC#: 801-62981

RIA

Registered Investment Advisory firm - (4/7/2004 Approved)

Alabama

Registered Investment Advisory firm - (6/29/2006 Terminated)

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).

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

Alabama
(12/14/2021)

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 65

Date: 11/18/2021

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/25/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 12/14/2020

Securities Industry Essentials Examination

Current Firm

MELD FINANCIAL, INC.

BROOKSTONE WEALTH MANAGEMENT | MELD FINANCIAL, INC. | FAIRWOOD FINANCIAL SERVICES

CRD#: 118896 / SEC#: 801-62981

RIA

Registered Investment Advisory firm - (4/7/2004 Approved)

Alabama

Registered Investment Advisory firm - (6/29/2006 Terminated)

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Contact information

Main Address

3008 Pump House Rd., Birmingham, AL 35243

Mailing Address

P.o. Box 43626, Birmingham, AL 35243

Phone number

(205) 967-4200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MELD, ADV PART 2A (3/6/2025)

Regulatory assets under management

Total Number of Accounts	1,846
AUM (Assets Under Management)	$ 689,572,507

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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Madison Caswell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Madison Caswell's CRS (Customer Relationship Summary).

Certified licenses

Experience

MELD FINANCIAL, INC.

TRIAD ADVISORS LLC

Primary Firm SEC Registration

MELD FINANCIAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/18/2021

Series 7TO

Date: 5/25/2021

SIE

Date: 12/14/2020

Current Firm

MELD FINANCIAL, INC.

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MELD FINANCIAL, INC.

TRUST BUT VERIFY

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