Scott Caldwell
Scott Caldwell is a registered investment advisor at LPL Financial LLC, based in Greenbrae, CA, with 34 years of industry experience. Scott is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.
Fee Estimator
Location
Greenbrae, CA
Get directionsHistory
Regulatory History (1)
Criminal
March 1971Other Business ActivitiesSells Insurance
Scott has a non-variable insurance DBA under Caldwell Financial Services since 2004. Since 2012, he also acts in a fiduciary capacity with Sweetwater Farm LP, spending minimal time on this investment-related activity with his brother.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Liberty Securities CorporationBroker
Cal Fed InvestmentsBroker
American Investors CompanyBroker
State Registrations7 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.
Exams
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