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Derick Eugene Caldwell

Charles Schwab & Co., Inc.

Lewisville, TX

Southlake, TX

New York City, NY

CRD 6971797

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Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Selection of other advisers
  • WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

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

Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-09-05
  • TX RA
    APPROVED
    Since 2024-09-05

Branch Locations

Lewisville, TX • United States

3000 Schwab Ln, Southlake, TX 76092-4805 • United States

1133 Avenue Of The Americas, New York City, NY 10036-6717 • 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
Charles Schwab & Co., Inc. Southlake TX 06/2018 Present
Pricewaterhousecoopers Tampa FL 02/2016 02/2018
Ernst&Young Dallas TX 04/2018 06/2018
Charles Schwab Bank, Ssb Southlake TX 01/2023 Present
Charles Schwab Trust Bank Southlake TX 02/2025 Present
Charles Schwab Premier Bank Southlake TX 02/2025 Present
  • 06/2018 → Present
    Charles Schwab & Co., Inc.
    Southlake, TX
  • 02/2016 → 02/2018
    Pricewaterhousecoopers
    Tampa, FL
  • 04/2018 → 06/2018
    Ernst&Young
    Dallas, TX
  • 01/2023 → Present
    Charles Schwab Bank, Ssb
    Southlake, TX
  • 02/2025 → Present
    Charles Schwab Trust Bank
    Southlake, TX
  • 02/2025 → Present
    Charles Schwab Premier Bank
    Southlake, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-09-03
S63 Uniform Securities Agent State Law Examination 2019-02-22
  • S66 Uniform Combined State Law Examination
    2024-09-03
  • S63 Uniform Securities Agent State Law Examination
    2019-02-22
Other Names
  • Derick Eugene Caldwell Jr
  • Derick Caldwell Jr

View on SEC IAPD

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