Jacob M. Caldwell
FOUNDERS FINANCIAL SECURITIES LLC
Martinsburg, WV 25401
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CRD#: 7428965
Professional summary
Jacob M Caldwell, CFP®, who also goes by Jake Caldwell, is a registered financial advisor currently at FOUNDERS FINANCIAL SECURITIES LLC located in Martinsburg, West Virginia.
Jacob is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Jacob has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jake 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.
1) Morgan Financial Group; Investment Related; 9773 Tuscarora Pike; Martinsburg, WV 25403; Start Date: 06/2022; Investment Advisor/ Registered Representative/ Insurance; DBA name for Investment Sales, Fixed Insurance and Annuities, Financial Planning, Investment Management 2) Week of Compassion; Not Investment Related; 1099 N Maridian Street Indianapolis, IN 46204; Start Date: 01/2019; Board Member; 2 Hrs. per month; 1 Hr. during trading; Member of Board of Stewards
CRS (Client Relationship Summary) - RIA
Click below to view Jacob M Caldwell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jacob M 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®
CFP®
Start date: 2023
Experience
Current
June 21, 2022 - Present
FOUNDERS FINANCIAL SECURITIES LLC
Office #1: 9773 Tuscarora Pike, Martinsburg, WV 25401RIA
BD
CRD#: 137945
Martinsburg, WV
Current
June 21, 2022 - Present
FOUNDERS FINANCIAL SECURITIES LLC
Office #1: 9773 Tuscarora Pike, Martinsburg, WV 25401RIA
BD
CRD#: 137945
Martinsburg, WV
Past
March 28, 2022 - May 16, 2022
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
LANCASTER, PA
Past
February 24, 2022 - May 16, 2022
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
LANCASTER, PA
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".
FF
FOUNDERS FINANCIAL SECURITIES LLC
7 PILLARS WEALTH MANAGEMENT | ZINAICH CAPITAL & RISK MANAGEMENT | WELCH BENEFIT GROUP | WEINBERG FINANCIAL ADVISORY | WEALTH PLANNING GROUP | WARNOCK FINANCIAL SERVICES LLC | WARNOCK FINANCIAL SERVICES | VOYAGER WEALTH MANAGEMENT | VEYDT/KING & COMPANY, INC. | TRUESENSE WEALTH MANAGEMENT, LLC | TPA FINANCIAL | TIMMICK FINANCIAL GROUP | THE ZIMMER FINANCIAL GROUP | THE INVESTMENT CENTER | THE CORNERSTONE GROUP | TAYLOR FINANCIAL | T & G FINANCIAL SOLUTIONS | SUMMIT LEGACY GROUP | STATONWALSH | SOUND CHOICE FINANCIAL LLC | SOLID ROCK WEALTH ADVISORS | SKYSON FINANCIAL GROUP | SERVANT LEADER INVESTORS | SENIOR FINANCIALS, LLC | RONALD HAMMONS | RIGG WEALTH MANAGEMENT, LLC | RESOLUTE RETIREMENT CONSULTING | PASCARELLA PLANNING GROUP | OVERDORF FINANCIAL | NOBLE FINANCIAL | MORGAN FINANCIAL GROUP LLC | MILLER FINANCIAL GROUP | MCCORD LLC | MASTERPIECE FINANCIAL GROUP | MASSEY INVESTMENT GROUP | MARYLAND WEALTH MANAGEMENT, LLC | MARSHA ROSENBERG | MARQUE CAPITAL MANAGEMENT, INC. | MAGIS WEALTH LEADERSHIP | LIPCHIN FINANCIAL GROUP LLC | LIM FINANCIAL GROUP | LIFETIME WEALTHCARE FAMILY OFFICE | LIFEHOUSE FINANCIAL GROUP | LEGACY FINANCIAL GROUP, LLC | LAMBERTSON FINANCIAL SERVICES | KUDERER FINANCIAL LLC | KESSLER INVESTMENTS | K WEST FINANCIAL PLANNING | JLIFE WEALTH MANAGEMENT | JARDON CONSULTING, LLC | J. C. KIDD & ASSOCIATES, INC. | INTEGRA FINANCIAL | HOFFMANN WEALTH MANAGEMENT | HERKERT & ASSOCIATES, INC. | GUIDED WEALTH MANAGEMENT | GREAT LAKES FINANCIAL SERVICES GROUP | GOULART PARTNERS | GOSEN INVESTMENTS, LLC | GERHART FINANCIAL SERVICES, INC. | FURTON FINANCIAL SERVICES | FTG SQUARED | FREDERICK FINANCIAL PLANNERS, INC. | FOX WEALTH SOLUTIONS | FOUNDERS FINANCIAL SECURITIES, LLC | FOUNDERS FINANCIAL SECURITIES LLC | FORT WASHINGTON FINANCIAL | FINANCIAL SECURITIES SERVICES, LLC | FINANCIAL PLANNING ASSOCIATES | FAIRWAY FINANCIAL | EVERLY FINANCIAL SERVICES | ESTABROOK AND CO. | EDM FINANCIAL ADVISORS | DREAMBRIDGE FINANCIAL | DIVERSIFIED RETIREMENT SERVICES | DHT FINANCIAL GROUP | DERICKSON FINANCIAL | DARRELL FINANCIAL SERVICES, LLC | COVENANT PLANNING AND WEALTH MANAGEMENT | COLSTON FINANCIAL GROUP | CHY FINANCIAL LLC | CHREST CPA TAX & FINANCIAL, PC | CARTOGRAPH WEALTH | CADRE ASSET MANAGEMENT | BROOKS FINANCIAL GROUP | BKG FINANCIAL, INC. | BISHOP ASSOCIATES,INC. | BENCHMARK FINANCIAL DESIGN GROUP INC | BARRY AND CAMPAGNA FINANCIAL SERVICES, INC | ASHER AND ASSOCIATES FINANCIAL | AQUINO FINANCIAL GROUP, LLC | AGORA INVESTMENTS | ABRAMOVITZ WEALTH MANAGEMENT
CRD#: 137945 / SEC#: 801-66892, 8-67137
RIA
Registered Investment Advisory firm - SEC (7/13/2006 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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
Delaware(3/13/2024)
RR
Florida(11/7/2023)
RR
Kentucky(6/10/2024)
RR
Maryland(6/21/2022)
IAR
Maryland(6/21/2022)
RR
Nevada(1/2/2024)
RR
New York(11/7/2023)
RR
North Carolina(6/4/2025)
RR
Oklahoma(11/7/2023)
RR
Pennsylvania(6/21/2022)
RR
Tennessee(1/2/2024)
IAR
Texas(1/2/2024)
RR
Texas(6/10/2024)
RR
Virginia(6/21/2022)
RR
West Virginia(6/21/2022)
IAR
West Virginia(11/13/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/24/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FF
FOUNDERS FINANCIAL SECURITIES LLC
7 PILLARS WEALTH MANAGEMENT | ZINAICH CAPITAL & RISK MANAGEMENT | WELCH BENEFIT GROUP | WEINBERG FINANCIAL ADVISORY | WEALTH PLANNING GROUP | WARNOCK FINANCIAL SERVICES LLC | WARNOCK FINANCIAL SERVICES | VOYAGER WEALTH MANAGEMENT | VEYDT/KING & COMPANY, INC. | TRUESENSE WEALTH MANAGEMENT, LLC | TPA FINANCIAL | TIMMICK FINANCIAL GROUP | THE ZIMMER FINANCIAL GROUP | THE INVESTMENT CENTER | THE CORNERSTONE GROUP | TAYLOR FINANCIAL | T & G FINANCIAL SOLUTIONS | SUMMIT LEGACY GROUP | STATONWALSH | SOUND CHOICE FINANCIAL LLC | SOLID ROCK WEALTH ADVISORS | SKYSON FINANCIAL GROUP | SERVANT LEADER INVESTORS | SENIOR FINANCIALS, LLC | RONALD HAMMONS | RIGG WEALTH MANAGEMENT, LLC | RESOLUTE RETIREMENT CONSULTING | PASCARELLA PLANNING GROUP | OVERDORF FINANCIAL | NOBLE FINANCIAL | MORGAN FINANCIAL GROUP LLC | MILLER FINANCIAL GROUP | MCCORD LLC | MASTERPIECE FINANCIAL GROUP | MASSEY INVESTMENT GROUP | MARYLAND WEALTH MANAGEMENT, LLC | MARSHA ROSENBERG | MARQUE CAPITAL MANAGEMENT, INC. | MAGIS WEALTH LEADERSHIP | LIPCHIN FINANCIAL GROUP LLC | LIM FINANCIAL GROUP | LIFETIME WEALTHCARE FAMILY OFFICE | LIFEHOUSE FINANCIAL GROUP | LEGACY FINANCIAL GROUP, LLC | LAMBERTSON FINANCIAL SERVICES | KUDERER FINANCIAL LLC | KESSLER INVESTMENTS | K WEST FINANCIAL PLANNING | JLIFE WEALTH MANAGEMENT | JARDON CONSULTING, LLC | J. C. KIDD & ASSOCIATES, INC. | INTEGRA FINANCIAL | HOFFMANN WEALTH MANAGEMENT | HERKERT & ASSOCIATES, INC. | GUIDED WEALTH MANAGEMENT | GREAT LAKES FINANCIAL SERVICES GROUP | GOULART PARTNERS | GOSEN INVESTMENTS, LLC | GERHART FINANCIAL SERVICES, INC. | FURTON FINANCIAL SERVICES | FTG SQUARED | FREDERICK FINANCIAL PLANNERS, INC. | FOX WEALTH SOLUTIONS | FOUNDERS FINANCIAL SECURITIES, LLC | FOUNDERS FINANCIAL SECURITIES LLC | FORT WASHINGTON FINANCIAL | FINANCIAL SECURITIES SERVICES, LLC | FINANCIAL PLANNING ASSOCIATES | FAIRWAY FINANCIAL | EVERLY FINANCIAL SERVICES | ESTABROOK AND CO. | EDM FINANCIAL ADVISORS | DREAMBRIDGE FINANCIAL | DIVERSIFIED RETIREMENT SERVICES | DHT FINANCIAL GROUP | DERICKSON FINANCIAL | DARRELL FINANCIAL SERVICES, LLC | COVENANT PLANNING AND WEALTH MANAGEMENT | COLSTON FINANCIAL GROUP | CHY FINANCIAL LLC | CHREST CPA TAX & FINANCIAL, PC | CARTOGRAPH WEALTH | CADRE ASSET MANAGEMENT | BROOKS FINANCIAL GROUP | BKG FINANCIAL, INC. | BISHOP ASSOCIATES,INC. | BENCHMARK FINANCIAL DESIGN GROUP INC | BARRY AND CAMPAGNA FINANCIAL SERVICES, INC | ASHER AND ASSOCIATES FINANCIAL | AQUINO FINANCIAL GROUP, LLC | AGORA INVESTMENTS | ABRAMOVITZ WEALTH MANAGEMENT
CRD#: 137945 / SEC#: 801-66892, 8-67137
RIA
Registered Investment Advisory firm - SEC (7/13/2006 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
1026 Cromwell Bridge Road Suite 100, Towson, MD 21286
Mailing Address
1026 Cromwell Bridge Road Suite 100, Towson, MD 21286
Phone number
(410) 308-9988
Established
Maryland since 09/21/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
141
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 17,774 |
| AUM (Assets Under Management) | $ 3,317,831,000 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/18/2025 | ||
| 07/29/2024 | ||
| 09/20/2023 | ||
| 11/07/2022 |
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
FOUNDERS FINANCIAL SECURITIES LLC
CRD#: 137945Martinsburg, WV 25401TRUST BUT VERIFY
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