James Caldwell
James Caldwell is a registered investment advisor at Stratos Wealth Partners, LTD, based in Vero Beach, FL, with 35 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Corporate Executives, Education Planning, Estate Planning, and 4 more. Their firm serves 21,699 clients with $14B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Stratos Wealth Partners (SWP) offers investment management through Strategic Wealth Management (SWM) accounts and other advisor-managed, non-wrap accounts.
With SWM and other advisor-managed, non-wrap accounts, you'll pay an advisory fee to SWP, plus transaction charges for each trade. The maximum annual advisory fee is 2.0% of the assets managed. In limited cases, SWP may apply a flat fee to provide asset management services, but the maximum flat fee will be no more than 2.0% of the assets under management.
A minimum account value of $10,000 is required for SWM and other advisor-managed, non-wrap accounts; however, in certain instances, the minimum account size may be lower.
Location
Vero Beach, FL
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
James sells life insurance, annuities, and long-term care products as an insurance agent with various companies since 2017. He also works as an Investment Advisory Representative for Beam Capital Partners, dedicating about a quarter of his time to this role.
Employment History
Current Registrations
Stratos Wealth Partners, LTD
Previous Registrations
Cetera Advisor Networks LLCBroker
Cwm, LLC
PNC Investments
PNC InvestmentsBroker
Raymond James Financial Services Advisors, INC
Raymond James Financial Services, INC.Broker
Independent Financial Partners
LPL Financial LLCBroker
LPL Financial LLC
LPL Financial LLCBroker
Uvest Financial Services Group, INC.
Uvest Financial Services Group, INC.Broker
National Planning Corporation ("npc of America" in Fl & Ny)
National Planning CorporationBroker
Ohio National Equities, INC.Broker
U.S. Bancorp Investments, INC.Broker
Vestax Securities CorporationBroker
Mds Securities IncorporatedBroker
Nationwide Advisory Services, INC.Broker
Peter L. Pointer Investment CO.Broker
The Great-West Life Assurance CompanyBroker
Morison Securities, INC.Broker
The Ohio CompanyBroker
State Registrations3 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.