Derek T Caldwell

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

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

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2026-02-13
IL	RA	APPROVED	2025-12-22

TX RA
APPROVED

Since 2026-02-13
IL RA
APPROVED

Since 2025-12-22

Branch Locations

One Bryant Park, New York, NY 10036 • UNITED STATES

110 N Wacker Dr, Chicago, IL 60606 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Chicago	IL	06/2025	Present
Mancino's Pizza And Grinders	Ann Arbor	MI	01/2018	10/2020
Saline Area Youth Baseball And Softball	Saline	MI	04/2015	07/2018
Rescue Lawn Care Services	Ann Arbor	MI	04/2019	05/2025
Dick's Sporting Goods	Tuscaloosa	AL	01/2023	05/2023
Libbey Glass	Toledo	OH	05/2023	08/2023
Kapnick Insurance Group	Ann Arbor	MI	06/2024	08/2024
Smoothie King	Tuscaloosa	AL	02/2024	05/2025
University Of Alabama	Tuscaloosa	AL	08/2021	05/2025

06/2025 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chicago, IL
01/2018 → 10/2020

Mancino's Pizza And Grinders

Ann Arbor, MI
04/2015 → 07/2018

Saline Area Youth Baseball And Softball

Saline, MI
04/2019 → 05/2025

Rescue Lawn Care Services

Ann Arbor, MI
01/2023 → 05/2023

Dick's Sporting Goods

Tuscaloosa, AL
05/2023 → 08/2023

Libbey Glass

Toledo, OH
06/2024 → 08/2024

Kapnick Insurance Group

Ann Arbor, MI
02/2024 → 05/2025

Smoothie King

Tuscaloosa, AL
08/2021 → 05/2025

University Of Alabama

Tuscaloosa, AL

Other Businesses

I*2575268 Entity Type: For Profit Name of OBA: The Sign Guys, LLC Address:Delafield Wisconsin Investment Related:No Position, Title, Association:Officer,Owner Start Date:06/23/2025 No Hours: 2 Weekly No Hours during trading:0 Weekly Duties:Provide businesses and school districts with banners, yard signs, and other marketing materials to increase their outreach or for fundraising opportunities. Sales, bookkeeping, marketing, operations.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2025-12-22

S66 Uniform Combined State Law Examination

2025-12-22

View on SEC IAPD