CC
Charles A. Calderwood
CALDERWOOD FINANCIAL STRATEGIES
HOUSTON, TX 77057
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CRD#: 837702
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Professional summary
Charles Andrew Calderwood, who also goes by Charlie Calderwood, is a registered financial advisor currently at CALDERWOOD FINANCIAL STRATEGIES, INC. located in Houston, Texas.
Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1977. Charles has worked at 7 firms and has passed the Series 63, Series 6TO, SIE, Series 7, Series 62, Series 1 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Charlie Calderwood
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)KINDER BROTHER INT.CONSULTING;POS:contracted speaker & consultant NATURE:Sole proprietor INV. RELATED:# OF HRS: 0 SEC.TD HRS:0 ST DT:07/01/11;ADDRESS:17110 Dallas Pkwy,STE 220,Dallas TX 75248;DESC: KINDER BRTH INT. (KBI) - NO DBA USED, NOT INV.RELATED,ADDRESS VARIES(I.E.HOTEL MEETING RM),SPEAKING ENGAGEMENTS SET BY KBI/SUBJECT MATTER SEC.TD HRS:25-40;CLASSRM INS.,CSE AND CLASS PREP.CLASS/STUDENT INTER. 2) CALDERWOOD FIN STRATEGIES,INC;President-owner NATURE: Texas domiciled corp,sub S INVESTMENT RELATED:Yes#OF HOURS:300 SEC TD HRS:300;06/01/2000;8556 Katy Freeway, Ste 108,Houston TX 77024;Prospecting CONSIST OF:CONSULTATIVE SELL,MARKETING AND PROSPECTING ACT.CONTRACT 1099 SPEAKER,ST DT:08/2010,APP.#OF HR MTH DEV.TO CONDUCTING THIS BUS.LESS THAN 10,APP.#OF HR MTH DEV.TO THIS BUS.DURING REG.SEC.TD HRS:LESS THAN 10,DUTIES:GIVE INFO.TALK/SPEECH WORKSHOPS(PRO.AND MGRS IN THE FIN.SER.INDUSTRY)DEEM INTERESTING,INFO, SERVICE OF INS PRODUCTS: LIFE, DIS, HEALTH, FIXED ANN, SECURE DATA, PROVIDE ANALYSIS AND DISCUSS WITH POTENTIAL CLIENT THE INTEREST IN A FULL REV. 3) FIRST FINANCIAL RESOURCES LLC (FFR); POS: Member; INV RELATED: Y; # OF HRS: 300; SEC. TD HRS: 300; ST DT 08/2010; ADDRESS: 100 Spectrum Center Drive, Suite 400, Irvine, CA 92618; NATURE: As a Member of FFR's Producer Group, Calderwood Financial Strategies, Inc. (CFS) receives additional revenue when a life insurance policy is sold. The compensation paid by FFR is paid as a reimbursement for marketing and selling costs on life insurance sold. An annual membership fee is paid to FFR by CFS.
CRS (Client Relationship Summary) - RIA
Click below to view Charles Andrew Calderwood'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
July 1, 2021 - Present
CALDERWOOD FINANCIAL STRATEGIES, INC.
Office #1: 510 Bering Drive Suite 540, Houston, TX 77057RIA
CRD#: 313466
HOUSTON, TX
Past
January 28, 2014 - July 15, 2021
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
HOUSTON, TX
Past
January 28, 2014 - July 15, 2021
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
HOUSTON, TX
Past
November 23, 2009 - January 23, 2014
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
HOUSTON, TX
Past
November 16, 2009 - January 23, 2014
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
HOUSTON, TX
Past
February 3, 2005 - November 18, 2009
NEW ENGLAND SECURITIES
RIA
CRD#: 615
HOUSTON, TX
Past
December 17, 2003 - November 18, 2009
NEW ENGLAND SECURITIES
BD
CRD#: 615
HOUSTON, TX
Past
May 5, 1997 - February 2, 2004
WS GRIFFITH SECURITIES, INC.
RIA
CRD#: 10410
HOUSTON, TX
Past
May 5, 1997 - February 2, 2004
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
Past
October 20, 1980 - April 30, 1997
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
May 20, 1977 - April 30, 1997
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
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".
CF
CALDERWOOD FINANCIAL STRATEGIES, INC.
CALDERWOOD FINANCIAL STRATEGIES, INC.
CRD#: 313466 / SEC#: 801-120801
RIA
Registered Investment Advisory firm - (4/15/2021 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.Highlighted states indicate IAR registrations
IAR
Louisiana(7/1/2021)
IAR
Texas(7/1/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 1/2/1991
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
RR
Series 1
Date: 5/14/1977
Registered Representative ExaminationPrincipal/Supervisory Exam
Current Firm
CF
CALDERWOOD FINANCIAL STRATEGIES, INC.
CALDERWOOD FINANCIAL STRATEGIES, INC.
CRD#: 313466 / SEC#: 801-120801
RIA
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Contact information
Main Address
510 Bering Drive Suite 540, Houston, TX 77057
Mailing Address
Phone number
(832) 821-2462
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 69 |
| AUM (Assets Under Management) | $ 216,367,000 |
Red Flags
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Company Information
CALDERWOOD FINANCIAL STRATEGIES, INC.
CRD#: 313466Houston, TX 77057TRUST BUT VERIFY
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Contact information
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