CC
Caradoc Crandall
LANE BROTHERS INVESTMENT COUNSEL
Prescott, AZ 86303
Some features on this profile are disabled
CRD#: 7510623
CC
Professional summary
Caradoc Crandall, who also goes by C James Crandall, Caradoc James Crandall, Doc Crandall, James Crandall, is a registered financial advisor currently at LANE BROTHERS INVESTMENT COUNSEL located in Prescott, Arizona.
Caradoc is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Caradoc has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
C James Crandall | Caradoc James Crandall | Doc Crandall | James Crandall
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) PRESTIGE WEALTH PLLC POS: Member NATURE: To provide tax clients and general wealth clients with strategies and financial advice that is appropriate for their particular situation. To assist them in increasing their wealth and reducing their taxes. Services include pension or qualified plans, annuities and other retirement options. Alternative investments when appropriate. Financial planning. INVESTMENT RELATED: Yes # OF HRS: 80 SECURITIES TRADING HRS: 80 START DATE: 12/11/2022 ADDRESS: 7182 E Night Watch Way, Prescott Valley AZ 86314, United States DESC: 1. Discovery of the clients wants and needs and strategies that would be appropriate for them. 2. Working with clients to develop wealth strategies and providing recommendations to meet those strategies. 3. Providing quotes for insurance products or offering detailed information on how the particular strategy would impact their tax situation and the long-term wealth effects of the strategy. 4. Hand-off the administrative side of the selected product to my administrative team to complete any applications, etc. to be completed. 5. Follow up with the client to be sure they are happy with the recommendation and the performance of the product. 2) CPA TAX SERVICE PLLC/ SC AUDIT & ACCOUNTING SOLUTIONS LLC. SC Audit & Accounting has purchased CPA Tax Service 9/16/2024. Acting as a contractor until official employment post-acquisition. POS: Member Shareholder and Tax Director NATURE: Income tax return preparation, Accounting and Bookkeeping, Payroll and Payroll Tax Services, Advisory Services. INVESTMENT RELATED: No # OF HRS: 80 SECURITIES TRADING HRS: 40 START DATE: 12/11/2022 ADDRESS: 7182 E Night Watch Way, Prescott Valley AZ 86314, United States DESC: 1. Prepare and review income tax returns.2. Request additional information needed from clients.3. Go over prepared returns and results of clients.4. Review bookkeeping and payroll reporting.5. Complete tax planning activities for clients.6. Review personnel time sheets and work performed and provide performance reviews and feedback. 7. Make hiring and termination decisions regarding employees and employment opportunities. 3) CRANDALL TAX CONSULTING PLLC POS: Member NATURE: Holding Company for CPA Tax Service, PLLC and Prestige Wealth, PLLC. Pays employees for both companies as needed. Files payroll reports. Reports all taxable activities of CPA Tax Consulting and CPA Tax Service and Prestige Wealth in a consolidated income tax return (S-Corp). Provides consulting/contracting activities to other firms, currently only contracted with SC Audit & Accounting Solutions, LLC. Holds IRS registered EFIN on behalf of CPA Tax Service. INVESTMENT RELATED: No # OF HRS: 20 SECURITIES TRADING HRS: 20 START DATE: 12/23/2021 ADDRESS: 7182 E Night Watch Way, Prescott Valley AZ 86314, United States DESC: All operations details from #4, and would include preparation of tax returns, reviewing of tax returns, filing of tax returns, tax planning and research activities and client communication. 4) INDEXED ANNUITIES SALES POS: Financial Professional NATURE: Sales of indexed annuities INVESTMENT RELATED: No # OF HRS: 5 SECURITIES TRADING HRS: 5 START DATE: 01/05/2024 ADDRESS: 4400 E. Broadway Blvd, #600-K, Tucson AZ 85711, United States DESC: 1. Meet with Clients2. Describe Indexed Annuities Investments including the pros and cons3. Document client meeting4. Determine client suitability using REG BI5. Fill out Annuities Application
CRS (Client Relationship Summary) - RIA
Click below to view Caradoc Crandall'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
November 17, 2024 - Present
LANE BROTHERS INVESTMENT COUNSEL
Office #1: 1560 Plaza West Drive, Prescott, AZ 86303RIA
CRD#: 105968
Prescott, AZ
Past
July 27, 2023 - November 29, 2024
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Prescott, AZ
Past
July 26, 2023 - November 29, 2024
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Prescott Valley, AZ
Past
September 27, 2022 - November 8, 2022
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
Needham, MA
Past
August 23, 2022 - November 8, 2022
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
Needham, MA
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".
LB
LANE BROTHERS INVESTMENT COUNSEL
LANE BROTHERS & CO INC | ROI & LANE LP | LANE TRADING PARTNERS LP | LANE BROTHERS INVESTMENT COUNSEL
CRD#: 105968 / SEC#: 801-130414
RIA
Registered Investment Advisory firm - (8/23/2024 Approved)Arizona
Registered Investment Advisory firm - (11/12/2024 Terminated)California
Registered Investment Advisory firm - (12/12/2024 Terminated)Texas
Registered Investment Advisory firm - (12/31/2020 Terminated)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
Arizona(11/21/2024)
IAR
Texas(11/17/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/23/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
LB
LANE BROTHERS INVESTMENT COUNSEL
LANE BROTHERS & CO INC | ROI & LANE LP | LANE TRADING PARTNERS LP | LANE BROTHERS INVESTMENT COUNSEL
CRD#: 105968 / SEC#: 801-130414
RIA
Registered Investment Advisory firm - (8/23/2024 Approved)Arizona
Registered Investment Advisory firm - (11/12/2024 Terminated)California
Registered Investment Advisory firm - (12/12/2024 Terminated)Texas
Registered Investment Advisory firm - (12/31/2020 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1560 Plaza West Drive, Prescott, AZ 86303
Mailing Address
Phone number
(928) 776-8870
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 877 |
| AUM (Assets Under Management) | $ 192,562,450 |
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.
