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KIM MARGARET CALDWELL
KIM M CALDWELL
CRD#: 2715652
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 LAUREL, NY
Registration History
1996199820002002200420062008201020122014201620182020202220242026IALPL FINANCIAL LLC (CRD# 6413)2017 - Present (8 years)BLPL FINANCIAL LLC (CRD# 6413)2009 - Present (15 years)BWATERSTONE FINANCIAL GROUP, INC. (CRD# 10078)2005 - 2009 (4 years)BTOWER SQUARE SECURITIES, INC. (CRD# 833)1998 - 2005 (7 years)BCITICORP INVESTMENT SERVICES (CRD# 23988)1997 - 1998 (<1 year)BCIGNA FINANCIAL ADVISORS,INC. (CRD# 145)1996 - 1997 (<1 year)BNATHAN & LEWIS SECURITIES, INC. (CRD# 8503)1996 - 1996 (<1 year)
License(s)

State Registrations

B
California 9/8/2009

IA
New York 8/3/2021

B
Connecticut 9/8/2009

B
North Carolina 1/2/2018

B
Delaware 7/26/2017

B
Pennsylvania 9/8/2009

B
Florida 9/8/2009

B
South Carolina 9/8/2009

B
Illinois 6/22/2011

B
Texas 9/8/2009

B
Massachusetts 9/8/2009

IA
Texas 2/6/2017

B
New Jersey 9/8/2009

B
Virginia 9/8/2009

B
New York 9/8/2009

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
LAUREL, NY
Registered with this firm since 2/6/2017

B
LPL FINANCIAL LLC (CRD#:6413)
LAUREL, NY
Registered with this firm since 9/8/2009

Previous Registration(s)
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B
08/15/2005 - 09/08/2009 WATERSTONE FINANCIAL GROUP, INC. (CRD#:10078) MELVILLE, NY
B
07/13/1998 - 08/15/2005 TOWER SQUARE SECURITIES, INC. (CRD#:833) EL SEGUNDO, CA
B
11/13/1997 - 03/18/1998 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
B
12/12/1996 - 11/03/1997 CIGNA FINANCIAL ADVISORS,INC. (CRD#:145) RADNOR, PA
B
05/01/1996 - 12/02/1996 NATHAN & LEWIS SECURITIES, INC. (CRD#:8503) NEW YORK, NY
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.