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David Andrew Caldwell

Harvest Capital Assets, LLC

Sanborn, NY

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Current Employers
Harvest Capital Assets, Llc

Sanborn, NY • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-01-02
SC RA APPROVED 2024-11-27
NY RA APPROVED 2021-08-12
  • TX RA
    APPROVED_RES
    Since 2026-01-02
  • SC RA
    APPROVED
    Since 2024-11-27
  • NY RA
    APPROVED
    Since 2021-08-12

Branch Locations

Sanborn, NY • 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
Harvest Capital Assets, Llc Lockport NY 05/2019 Present
Harvest Capital Assets Lockport NY 06/2015 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-07-06
  • S65 Uniform Investment Adviser Law Examination
    2018-07-06
Other Names
  • David Caldwell

View on SEC IAPD

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