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Ashley P. Caldis

BLUE VISTA CAPITAL
Chicago, IL 60654-3453
Some features on this profile are disabled
CRD#: 7851893
AC

Professional summary

Ashley P Anderson Caldis, who also goes by Ashley Patricia Anderson, Ashley Caldis, is a registered financial professional currently at BLUE VISTA CAPITAL, LLC located in Chicago, Illinois.

Ashley is registered as a RR (Registered Representative) and started their career in finance in 2024. Ashley has worked at 1 firm and has passed the Series 63, Series 22TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ashley Patricia Anderson | Ashley Caldis

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ashley P Anderson Caldis'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

June 13, 2024 - Present

BLUE VISTA CAPITAL, LLC

Office #1: 353 N. Clark St. Suite 730, Chicago, IL 60654-3453
RIA
BD
CRD#: 127001
Chicago, IL

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".
BV
BLUE VISTA CAPITAL, LLC
BLUE VISTA CAPITAL, LLC

CRD#: 127001 / SEC#: 801-74382, 8-65941

RIA
Registered Investment Advisory firm - SEC (3/13/2012 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

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

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
Illinois
(6/13/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 6/11/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 22TO
Date: 2/27/2024
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/15/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

BV
BLUE VISTA CAPITAL, LLC
BLUE VISTA CAPITAL, LLC

CRD#: 127001 / SEC#: 801-74382, 8-65941

RIA
Registered Investment Advisory firm - SEC (3/13/2012 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
353 N. Clark St. Suite 730, Chicago, IL 60654-3453
Mailing Address
353 N. Clark St. Suite 730, Chicago, IL 60654-3453
Phone number
(312) 578-0033
Established
Illinois since 03/14/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
60

SEC notice filing (1 States and Territories)

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

FINRA licenses (14 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

BLUE VISTA PART 2A (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
PETER STELIAN REVOCABLE TRUST, DATED MARCH 19, 1998OWNER
ROBERT G. BYRON REVOCABLE TRUST, DATED MARCH 20, 1998OWNER
BYRON, ROBERT GORDONMANAGING PRINCIPAL1360739
STELIAN, PETERMANAGING PRINCIPAL, CEO AND CCO

Regulatory assets under management

Total Number of Accounts19
AUM (Assets Under Management)$ 1,889,066,084

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/20/2024
Cover Page
Report
04/24/2024
Cover Page
Report
03/11/2024
Cover Page
Report
03/29/2023
Cover Page
Report

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

BLUE VISTA CAPITAL, LLC

CRD#: 127001Chicago, IL 60654-3453

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