Glenn Andrew Caldicott

Employer firm

Empirical Asset Management, LLC CRD 155436

$560M regulatory AUM 2 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 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

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

Other Names

• Caldi Caldicott