Quincy Deearl Caldwell

Current Employers

Empirikal Partners Llc

Phoenix, AZ • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2023-01-09

TX RA
APPROVED

Since 2023-01-09

Branch Locations

Phoenix, AZ • United States

Katy, TX • United States

Disclosures

3 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Self Employed	Houston	TX	08/2010	Present
Planmember Securities Corporation	Carpinteria	CA	10/2013	10/2018
Sole Proprietor Quincy Caldwell - Self Employed	Houston	TX	06/2011	Present
100 Black Men Of Metro Houston	Bellaire	TX	09/2013	Present
Financial Depot Llc; (Dba) Financial Depot	Houston	TX	01/2015	Present
Empirikal Partners Llc	Phoenix	AZ	01/2023	Present
Supreme Alliance Llc	Katy	TX	10/2020	01/2023

08/2010 → Present

Self Employed

Houston, TX
10/2013 → 10/2018

Planmember Securities Corporation

Carpinteria, CA
06/2011 → Present

Sole Proprietor Quincy Caldwell - Self Employed

Houston, TX
09/2013 → Present

100 Black Men Of Metro Houston

Bellaire, TX
01/2015 → Present

Financial Depot Llc; (Dba) Financial Depot

Houston, TX
01/2023 → Present

Empirikal Partners Llc

Phoenix, AZ
10/2020 → 01/2023

Supreme Alliance Llc

Katy, TX

Previous Registrations

2020-10-02 → 2023-01-02

Supreme Alliance Llc

Charlotte, NC

Charlotte, NC

Katy, TX

Katy, TX
2013-10-07 → 2018-10-19

Planmember Securities Corporation

Carpinteria, CA

Katy, TX

Horseshoe Bay, TX
2013-04-09 → 2013-10-07

Veritrust Financial, Llc

Katy, TX

Austin, TX
2011-12-19 → 2013-06-04

Ridgeway Conger Advisory Services

Katy, TX

New Woodstock, NY
2011-03-22 → 2011-09-12

Veritrust Financial, Llc

Katy, TX

Austin, TX

Austin, TX
2010-09-16 → 2011-03-22

Westpark Wealth Advisors, Inc.

Houston, TX

Other Businesses

1. QUINCY CALDWELL, SELF EMPLOYED - 19215 Cedarsham Lane,Katy TX 77449; INVESTMENT RELATED; FINANCIAL & INSURANCE SALES & SERVICES; AGENT; START DATE 6/11; 10 HRS/MNTH & DURING TRADING. 2. QUINCY CALDWELL, SELF EMPLOYED - 19215 Cedarsham Lane,Katy TX 77449; NON-INVESTMENT RELATED; REAL ESTATE-RENTAL PROPERTY OWNER; START DATE 8/10; 3 HRS/MNTH; 0 HRS/MNTH DURING TRADING. 3. FINANCIAL DEPOT LLC; (DBA) FINANCIAL DEPOT;19215 Cedarsham Lane Katy TX 77449; FINANCIAL SERVICES FIXED INSURANCE AND ANNUITY AGENCY;INVESTMENT RELATED;INSURANCE AGENCY INCLUDES SALE OF LIFE INSURANCE AND INDEXED ANNUITIES; OFFICER;NUMBER OF HOURS/MONTH DEVOTED TO THIS BUSINESS:20 ;NUMBER OF HOURS/MONTH DEVOTED TO THIS BUSINESS DURING TRADING HOURS:2 ; 4. Old Danville Shepardhill Cemetary; 12249 Shepard Hill Rd, Willis TX 77318; Treasurer; started 5/2022; 2 hours per month; 0 hours per month during trading hours; on board of directors; Approve VP Expenses and accounting; no compensation; no private securities.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2010-09-11

S66 Uniform Combined State Law Examination

2010-09-11

Other Names

Quincy De'EArl Caldwell
Quincy De Earl Caldwell

View on SEC IAPD