Travis Caswell

Current Employers

New York Life Investment Management Llc

51 Madison Avenue, New York, NY 10010 • United States

Current Registrations

Authority	Category	Status	Date
WI	RA	APPROVED	2024-05-30

WI RA
APPROVED

Since 2024-05-30

Branch Locations

Wauwatosa, WI • United States

51 Madison Avenue, New York, NY 10010 • 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
Edward Jones	St Louis	MO	08/2018	08/2019
University Of Wisconsin Oshkosh	Oshkosh	WI	09/2014	05/2018
Guardian Life	Appleton	WI	06/2017	08/2017
Milwaukee Bucks	Oshkosh	WI	11/2017	04/2018
Northwestern Mutual	Appleton	WI	12/2016	02/2017
Cuna Mutual Group	Waverly	IA	09/2019	08/2022
Cuna Brokerage Services, Inc.	Waverly	IA	09/2019	08/2022
Lpl Financial Llc	Milwaukee	WI	05/2022	08/2022
Allspring Funds Distributor, Llc	Miluakee	WI	08/2022	05/2024
Allspring Funds Management, Llc.	Miluakee	WI	08/2022	05/2024
New York Life Investments	Milwaukee	WI	05/2024	Present

08/2018 → 08/2019

Edward Jones

St Louis, MO
09/2014 → 05/2018

University Of Wisconsin Oshkosh

Oshkosh, WI
06/2017 → 08/2017

Guardian Life

Appleton, WI
11/2017 → 04/2018

Milwaukee Bucks

Oshkosh, WI
12/2016 → 02/2017

Northwestern Mutual

Appleton, WI
09/2019 → 08/2022

Cuna Mutual Group

Waverly, IA
09/2019 → 08/2022

Cuna Brokerage Services, Inc.

Waverly, IA
05/2022 → 08/2022

Lpl Financial Llc

Milwaukee, WI
08/2022 → 05/2024

Allspring Funds Distributor, Llc

Miluakee, WI
08/2022 → 05/2024

Allspring Funds Management, Llc.

Miluakee, WI
05/2024 → Present

New York Life Investments

Milwaukee, WI

Previous Registrations

2022-08-26 → 2024-05-23

Allspring Funds Management, Llc

Milaukee, WI

Menomonee Falls, WI
2022-05-18 → 2022-08-23

Lpl Financial Llc

Milwaukee, WI
2019-09-24 → 2022-05-18

Cuna Brokerage Services, Inc.

Madison, WI

Milwaukee, WI
2018-12-11 → 2019-09-05

Edward Jones

Oshkosh, WI

St Louis, MO

Tempe, AZ

Oshkosh, WI

Oshkosh, WI

Other Businesses

NCAA Basketball Referee; 313 N Plankinton Ave Milwaukee, WI 53203; not investment related; college basketball referee, regular season is November-March - 40 hours per month not during normal business hours.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2018-12-07

S66 Uniform Combined State Law Examination

2018-12-07

Other Names

Travis Michael Caswell
Travis Caswell
Travis M Caswell

View on SEC IAPD