Daniel Andrew Caldwell

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

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

• 01/1988 → Present
  Jefferson-Pilot Insurance/Financial Serv
  Richmond, VA
• 07/2008 → 01/2025
  Lincoln Financial Securities Corporation
  Richmond, VA
• 01/2025 → Present
  Osaic Wealth, Inc.
  Richmond, VA

Previous Registrations

• 1999-09-30 → 2025-01-24
  Osaic Fs, Inc.
  Concord, NH
  Richmond, VA

Other Businesses

1) DANIEL A. CALDWELL, 7501 BOULDERS VIEW DR. STE. 440 RICHMOND, VA. 23225 CATEGORY: INSURANCE INVESTMENT-RELATED: YES TITLE: AGENT DUTIES: OFFERS ACCIDENT/HEALTH INSURANCE, DISABILITY INSURANCE, FIXED/INDEXED ANNUITIES, HEALTH SAVING ACCOUNTS, PREMIUM FINANCING, TRADITINAL LIFE INSURANCE PRODUCTS. START DATE: 3/1990 HOURS PER MONTH: 150 HOURS PER MONTH DURING TRADING HOURS: 150 2) ALPHA OMEGA WEALTH PARTNERS - AO WEALTH PARTNERS POSITION: Representative NATURE: Russell Hadley, OSJ and Managing Senior Partner and Agency's main address. Our local office is located at 8814 Fargo Rd., Set. 103 Richmond, Va 23229 phone 804-327-2495. Insurance sales and investments, as our OSJ office. INVESTMENT RELATED: Yes NUMBER OF HOURS: 140 SECURITIES TRADING HOURS: 140 START DATE: 05/12/2025 ADDRESS: 900 Ridgefield Dr., Suite 130, Raleigh NC 27609, United States DESCRIPTION: Insurance sales, primarily through Lincoln Financial Group -Agency System Agent and our OSJ Agency name, now through Osaic Wealth Inc. 3) DANIEL A. CALDWELL, LUTCF INSURANCE & ADVISORY REPRESENTATIVE POSITION: Agent NATURE: sale of life insurance, health insurance, disability insurance, variable life, variable annuities, mutual funds & other licensed investments INVESTMENT RELATED: No NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 100 START DATE: 03/31/1990 ADDRESS: 8814 Fargo Rd, Ste. 103, Richmond VA 23229, United States DESCRIPTION: sale of life insurance, health insurance, disability insurance, etc.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-07-28
• S63 Uniform Securities Agent State Law Examination
  1990-06-05

Other Names

• Dan Caldwell