Chase Caldwell

Employer firm

Mml Investors Services, LLC CRD 10409

$116B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2014 → 03/2020
  Danbury Public Schools
  Danbury, CT
• 10/2020 → 05/2022
  Northwestern Mutual Life Insurance Company
  Norwalk, CT
• 10/2020 → 06/2023
  Northwestern Mutual Investment Services Llc
  Norwalk, CT
• 06/2023 → 06/2024
  Northwestern Mutual Wealth Management Company
  Norwalk, CT
• 02/2013 → Present
  One Plug Entertainment Llc
  Trinity, FL
• 10/2023 → 04/2024
  Northwestern Mutual Investment Services Llc
  Tampa, FL
• 10/2023 → 04/2024
  Northwestern Mutual Wealth Management Company
  Tampa, FL
• 06/2024 → Present
  Massmutual Life Insurance Co
  Tampa, FL
• 06/2024 → Present
  Mml Investors Services, Llc
  Tampa, FL

Previous Registrations

• 2023-12-11 → 2024-04-29
  Northwestern Mutual Investment Services, Llc
  Tampa, FL
• 2021-06-21 → 2023-07-11
  Northwestern Mutual Investment Services, Llc
  Norwalk, CT

Other Businesses

Name: One Plug Entertainment, LLC Inv Rel: Y Add: At residential address Nature: Consulting Position: Owner Start Date: 02/13/2013 No. Hr/Mo: 20 No. Hr/Mo During Sec Trading: 0 Duties: DJ, photobooth, consulting services for weddings & events.

Exams

• S66 Uniform Combined State Law Examination
  2021-06-17

Designations

• Certified Financial Planner
• Chartered Financial Consultant

Other Names

• Chase Caldwell
• Chase Lee Caldwell
• Chase Caldwell