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RC

Ronald A. Caldwell

Some features on this profile are disabled
CRD#: 727534
RC

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.

Ronald Addison Caldwell, CFP®, who also goes by Ron Caldwell, Ronald Addison Caldwell Jr, Ronald Caldwell, was a registered financial professional .

Ronald is a previously registered financial professional and started their career in finance in 1981. Ronald had worked at 21 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ron Caldwell | Ronald Addison Caldwell Jr | Ronald 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.
RMCC ENTERPRISES INC. POSITION: vice president NATURE: Publishing -- Vice President. This is my wifes business. I have no day to day involvement in the business. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 1 START DATE: 12/20/2012 ADDRESS: 1333 Corporate Drive, Irving TX 75063 LAKE POINT ADVISORY GROUP, LLC - INSURANCE AGENCY - INVESTMENT RELATED - 1111 SOUTH MAIN STREET, SUITE 111, GRAPEVINE TX 76051 - INSURANCE AGENT - START DATE: 11/2019 - 80 HOURS/MONTH - 40 SECURITIES TRADING HOURS/MONTH - SALE OF INSURANCE PRODUCTS

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Experience

Past

March 19, 2021 - September 11, 2023

VICTORY CAPITAL SERVICES, INC.

BD
CRD#: 37059
San Antonio, TX
Past

March 17, 2021 - September 11, 2023

VICTORY CAPITAL MANAGEMENT INC.

RIA
CRD#: 106189
SAN ANTONIO, TX
Past

December 5, 2019 - June 11, 2021

LAKE POINT WEALTH MANAGEMENT, LLC

RIA
CRD#: 170398
GRAPEVINE, TX
Past

August 1, 2018 - November 14, 2019

BB&T SECURITIES, LLC

RIA
CRD#: 142785
IRVING, TX
Past

August 1, 2018 - November 14, 2019

BB&T SECURITIES, LLC

BD
CRD#: 142785
IRVING, TX
Past

March 31, 2014 - July 17, 2017

FORWARD MANAGEMENT, LLC

RIA
CRD#: 109193
SAN FRANCISCO, CA
Past

March 25, 2014 - July 20, 2017

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
DENVER, CO
Past

December 5, 2011 - February 24, 2014

WILLIAM BLAIR

BD
CRD#: 1252
CHICAGO, IL
Past

August 17, 2009 - December 5, 2011

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

BD
CRD#: 39805
CHICAGO, IL
Past

April 30, 2008 - August 11, 2009

ALLIANZ LIFE FINANCIAL SERVICES, LLC

BD
CRD#: 612
MINNEAPOLIS, MN
Past

June 19, 2003 - April 9, 2008

INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.

RIA
CRD#: 109264
HOUSTON, TX
Past

June 19, 2003 - April 9, 2008

INVESCO DISTRIBUTORS, INC.

BD
CRD#: 7369
HOUSTON, TX
Past

February 19, 2003 - June 9, 2003

NATIXIS ADVISORS, LLC

RIA
CRD#: 106800
BOSTON, MA
Past

August 21, 2002 - June 9, 2003

NATIXIS DISTRIBUTION, LLC

BD
CRD#: 34754
BOSTON, MA
Past

August 4, 1997 - July 11, 2002

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

June 4, 1996 - May 19, 1997

LORD ABBETT DISTRIBUTOR LLC

BD
CRD#: 530
JERSEY CITY, NJ
Past

September 14, 1987 - August 15, 1996

NUVEEN SECURITIES, LLC

BD
CRD#: 469
CHICAGO, IL
Past

February 21, 1986 - July 24, 1987

APS FINANCIAL CORPORATION

BD
CRD#: 10033
Past

October 11, 1985 - February 28, 1986

PFS INVESTMENTS INC.

BD
CRD#: 10111
Past

April 18, 1983 - November 21, 1983

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Past

March 4, 1983 - March 14, 1983

THOMSON MCKINNON SECURITIES INC.

BD
CRD#: 829
Past

December 24, 1981 - January 18, 1983

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

April 6, 1981 - October 5, 1981

NUVEEN SECURITIES, LLC

BD
CRD#: 469

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 11/27/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/8/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/19/1981
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/3/1981
Investment Company Products/Variable Contracts Representative Examination

Current Firm

VC
VICTORY CAPITAL SERVICES, INC.
CHS INVESTMENT SERVICES, INC. | VICTORY INCOME INVESTORS | VICTORY FUNDS | VICTORY CAPITAL SERVICES, INC. | VICTORY CAPITAL ADVISERS, INC. | TRIVALENT INVESTMENTS | THE ONE GROUP SERVICES COMPANY | SYCAMORE CAPITAL | RS INVESTMENTS | PIONEER INVESTMENTS | ONE GROUP SERVICES COMPANY (THE) | OGSC DISTRIBUTOR, INC. | NEW ENERGY CAPITAL | MUNDER CAPITAL MANAGEMENT | INTEGRITY ASSET MANAGEMENT

CRD#: 37059 / SEC#: , 8-47577

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
4900 Tiedeman Road 4th Floor, Brooklyn, OH 44144
Mailing Address
4900 Tiedeman Road 4th Floor, Brooklyn, OH 44144
Phone number
(216) 898-2400
Established
Delaware since 06/03/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
VICTORY CAPITAL OPERATING, LLCSOLE SHAREHOLDER
INKS, DONALD ANTHONYCHIEF OPERATIONS OFFICER2311245
MATHES, CHARLES BCHIEF COMPLIANCE OFFICER5980160
POLICARPO, MICHAEL DENNIS IIPRESIDENT4316912
PONTE, CHRISTOPHER ANTONICFO/FINOP5968469

Disclosures

Regulatory Event1

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.

Company Information

VICTORY CAPITAL SERVICES, INC.

CRD#: 37059

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