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John Caldwell

J.P. Morgan Securities LLC
28 Years of Experience
Birmingham, MI
1 DisclosureBroker
View SEC Summary
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John Caldwell is a registered investment advisor at J.P. Morgan Securities LLC, based in Birmingham, MI, with 28 years of industry experience. John is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning, Socially Responsible Investing. Their firm serves 1,246,646 clients with $430B in assets under management.

J.P. Morgan Securities LLC
Compensation
Fee-Only (% of Portfolio)
Firm Size
14260 advisors
Number of Clients
1,246,646 clients
Average Client Portfolio
$345K average
Assets Under Management
$429.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K0.60%
$250K+0.50%

Clients with $1,000,000 or more as of May 31, 2024, continue to pay 0.40%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

480 Pierce St, Floor 02, Birmingham, MI, 48009

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Judgment / Lien
October 2014
View Full SEC ReportHow to Read Disclosures
Other Business Activities

John works as an employee/contractor for KMC Educational Services, providing tutoring services since 2023. He dedicates minimal time to this non-investment related activity.

Employment History
Current Registrations
J.P. Morgan Securities LLC
April 2024 - Present · 2 yrs 6 mos
J.P. Morgan Securities LLCBroker
April 2013 - Present · 13 yrs 6 mos
Previous Registrations
Freedom One Investment Advisors, INC.
February 2011 - January 2013 · 1 yr 11 mos
UBS Financial Services INC.Broker
February 2007 - April 2010 · 3 yrs 2 mos
Mcdonald Investments INC.Broker
May 2000 - February 2007 · 6 yrs 9 mos
Wayne Hummer Investments L.L.C.Broker
November 1998 - May 2000 · 1 yr 6 mos
Mcdonald & Company Securities, INC.Broker
September 1996 - November 1998 · 2 yrs 2 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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