Kim Margaret Caldwell

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-08-03
TX	RA	APPROVED	2017-02-06

NY RA
APPROVED

Since 2021-08-03
TX RA
APPROVED

Since 2017-02-06

Branch Locations

Laurel, 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

Organization	City	State	From	To
Lpl Financial Corporation	Melville	NY	09/2009	Present

09/2009 → Present

Lpl Financial Corporation

Melville, NY

Other Businesses

1. 03/18/2010 - INSURANCE COMPANIES - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - IN THE PAST, HAVE SOLD LIFE AND LONG TERM CARE THROUGH PRUDENTIAL INSURANCE AND TRAVELER'S INSURANCE BUT ALL FUTURE INSURANCE TO BE PLACED THROUGH LPL, NON-VARIABLE INSURANCE, Time Spent:1%.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1996-05-20

S63 Uniform Securities Agent State Law Examination

1996-05-20

Designations

Certified Financial Planner

Other Names

Kim M Caldwell

View on SEC IAPD