TC
Timothy L. Caulfield
STRATEGIC ADVISERS LLC
NAPERVILLE, IL
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CRD#: 712381
TC
Professional summary
Timothy L Caulfield, who also goes by Tim Caulfield, Timothy Lon Caulfield, Timothy Caulfield, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Naperville, Illinois and FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Timothy has worked at 12 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tim Caulfield | Timothy Lon Caulfield | Timothy Caulfield
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.
CRS (Client Relationship Summary) - RIA
Click below to view Timothy L Caulfield'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
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
NAPERVILLE, IL
Current
October 18, 2022 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917BD
CRD#: 7784
Smithfield, RI
Past
January 27, 2025 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
NAPERVILLE, IL
Past
May 29, 2019 - February 1, 2022
HILLTOP SECURITIES INC.
BD
CRD#: 6220
CHICAGO, IL
Past
May 18, 2004 - April 11, 2019
MESIROW FINANCIAL, INC.
BD
CRD#: 2764
CHICAGO, IL
Past
January 6, 2003 - May 14, 2004
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
MEMPHIS, TN
Past
January 28, 1994 - January 31, 2003
WILLIAM BLAIR
BD
CRD#: 1252
CHICAGO, IL
Past
March 6, 1989 - February 10, 1994
RODMAN & RENSHAW INC.
BD
CRD#: 724
CHICAGO, IL
Past
August 25, 1986 - March 20, 1989
THE CHICAGO CORPORATION
BD
CRD#: 1449
Past
August 1, 1986 - August 27, 1986
BOATMEN'S INVESTMENT SERVICES, INC.
BD
CRD#: 17533
Past
May 13, 1981 - February 25, 1983
THE COLUMBIAN SECURITIES CORPORATION
BD
CRD#: 169
Past
July 24, 1980 - April 13, 1981
CAL CAULFIELD AND COMPANY, INC.
BD
CRD#: 7527
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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 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
RR
Alabama(10/18/2022)
RR
Alaska(10/18/2022)
RR
Arizona(10/18/2022)
RR
Arkansas(10/18/2022)
RR
California(10/18/2022)
RR
Colorado(10/18/2022)
RR
Connecticut(10/18/2022)
RR
Delaware(10/18/2022)
RR
District of Columbia(10/18/2022)
RR
Florida(10/18/2022)
RR
Georgia(10/18/2022)
RR
Hawaii(10/18/2022)
RR
Idaho(10/18/2022)
RR
Illinois(10/18/2022)
IAR
Illinois(3/31/2025)
RR
Indiana(10/18/2022)
RR
Iowa(10/18/2022)
RR
Kansas(10/18/2022)
RR
Kentucky(10/18/2022)
RR
Louisiana(10/18/2022)
RR
Maine(10/18/2022)
RR
Maryland(10/18/2022)
RR
Massachusetts(10/18/2022)
RR
Michigan(10/18/2022)
RR
Minnesota(10/18/2022)
RR
Mississippi(10/18/2022)
RR
Missouri(10/18/2022)
RR
Montana(10/18/2022)
RR
Nebraska(10/18/2022)
RR
Nevada(10/18/2022)
RR
New Hampshire(10/18/2022)
RR
New Jersey(10/19/2022)
RR
New Mexico(10/18/2022)
RR
New York(10/18/2022)
RR
North Carolina(10/18/2022)
RR
North Dakota(10/18/2022)
RR
Ohio(10/19/2022)
RR
Oklahoma(10/18/2022)
RR
Oregon(10/18/2022)
RR
Pennsylvania(10/18/2022)
RR
Puerto Rico(10/18/2022)
RR
Rhode Island(10/18/2022)
RR
South Carolina(10/18/2022)
RR
South Dakota(10/18/2022)
RR
Tennessee(10/18/2022)
RR
Texas(10/19/2022)
IAR
Texas(3/31/2025)
RR
Utah(10/18/2022)
RR
Vermont(10/18/2022)
RR
Virgin Islands(10/18/2022)
RR
Virginia(10/18/2022)
RR
Washington(10/18/2022)
RR
West Virginia(10/18/2022)
RR
Wisconsin(10/18/2022)
RR
Wyoming(10/18/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
