James Robert Caldwell

Employer firm

Stratos Wealth Partners, Ltd CRD 153184

$18.6B regulatory AUM 376 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

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

Current Employers

Employment History

• 03/2016 → 01/2017
  Pnc Investments
  Port St Lucie, FL
• 01/2017 → 07/2024
  Cwm, Llc
  Omaha, NE
• 02/2017 → 08/2019
  Cetera Advisors Networks Llc
  El Segundo, CA
• 01/2017 → 09/2024
  Carson Wealth Management
  Omaha, NE
• 09/2024 → Present
  Stratos Wealth Partners, Ltd.
  Columbus, OH

Previous Registrations

• 2017-01-31 → 2024-07-30
  Cwm, Llc
  Omaha, NE
  Omaha, NE
• 2016-04-12 → 2017-01-20
  Pnc Wealth Management Llc
  Port St. Lucie, FL
  Port St. Lucie, FL
  Vero Beach, FL
  Vero Beach, FL
• 2015-02-26 → 2016-03-16
  Raymond James Financial Services Advisors, Inc
  Boynton Beach, FL
• 2013-10-22 → 2015-02-24
  Independent Financial Partners
  Melbourne, FL
• 2010-07-14 → 2013-09-16
  Lpl Financial Llc
  Deerfield Beach, FL
  Boca Raton, FL
  Boynton Beach, FL
  Palm Beach Gardens, FL
  West Palm Beach, FL
  Port St Lucie, FL
  Palm Beach Gardens, FL
• 2009-02-18 → 2010-07-27
  Uvest Financial Services Group, Inc.
  Vero Beach, FL
  Fort Pierce, FL
  Fort Pierce, FL
  Fort Pierce, FL
  Vero Beach, FL
  Vero Beach, FL
• 2008-06-13 → 2008-09-23
  National Planning Corporation
  The Villages, FL

Other Businesses

(1) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: 1636 BASELINE LANE, VERO BEACH, FL 32967 NATURE OF BUSINESS: FIXED INSURANCE START DATE: 02/2017 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, ANNUITIES AND LONG-TERM CARE (2) NAME OF OTHER BUSINESS: BEAM CAPITAL PARTNERS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION START DATE: 09/2024 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE

Exams

• S66 Uniform Combined State Law Examination
  2008-06-02
• S63 Uniform Securities Agent State Law Examination
  1986-05-12

Other Names

• Jim Caldwell