Glenn Andrew Caldicott

Current Employers

Empirical Asset Management, Llc

57 River Street Suite 301, Wellesley, MA 02481 • United States

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2021-12-09

MA RA
APPROVED

Since 2021-12-09

Branch Locations

57 River Street Suite 301, Wellesley, MA 02481 • United States

Disclosures

1 disclosure category 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 No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	New York	NY	12/2005	10/2021
Empirical Asset Management, Llc	Newton	MA	11/2021	Present
Bank Of America Corporation	New York	NY	09/2009	10/2021

12/2005 → 10/2021

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY
11/2021 → Present

Empirical Asset Management, Llc

Newton, MA
09/2009 → 10/2021

Bank Of America Corporation

New York, NY

Previous Registrations

2006-09-22 → 2021-11-02

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Boston, MA

Sherborn, MA

Wellesley Hills, MA

Boston, MA

Boston, MA

New York, NY

New York, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2007-03-19
S63	Uniform Securities Agent State Law Examination	1985-06-04

S65 Uniform Investment Adviser Law Examination

2007-03-19
S63 Uniform Securities Agent State Law Examination

1985-06-04

Other Names

Caldi Caldicott

View on SEC IAPD

Current Employers

Empirical Asset Management, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews