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Deidre T. Caldwell

Janney Montgomery Scott LLC

Charlotte, NC

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Current Employers
Janney Montgomery Scott Llc

1717 Arch Street, Philadelphia, PA 19103 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2024-11-18
NC RA APPROVED 2024-11-15
  • GA RA
    APPROVED
    Since 2024-11-18
  • NC RA
    APPROVED
    Since 2024-11-15

Branch Locations

4064 Colony Road Two Morrocroft Centre, Suite 450, Charlotte, NC 28211 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Robert W Baird Charlotte NC 03/2014 11/2024
Janney Montgomery Scott Llc Charlotte NC 11/2024 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-02-01
S63 Uniform Securities Agent State Law Examination 1988-10-13
  • S66 Uniform Combined State Law Examination
    2011-02-01
  • S63 Uniform Securities Agent State Law Examination
    1988-10-13
Other Names
  • Deidre Thomas Wyont
  • Deidre Lynn Thomas
  • Deidre Lynn Thomas
  • Dee Thomas
  • Deidre Lynn Carter
  • Deidre Thomas Wyont
  • Deidre Lynn Thomas
  • Deidre Lynn Yeaton

View on SEC IAPD

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