CAULDWELL FINANCIAL GROUP INC
CRD #106871 SEC #801-30016 WEST DES MOINES, IA 515-224-4032
SEC Registered
Total AUM
$27M
Discretionary
$23M
Employees
10
Clients
0
Accounts
226
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Sep 7, 2005
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| HOLT, GRADY, DOUGLAS | I | CHIEF COMPLIANCE OFFICER | NA | |
| HOLT, GRADY, DOUGLAS | I | CHIEF COMPLIANCE OFFICER | NA | |
| HOLT, GRADY, DOUGLAS | I | CHIEF COMPLIANCE OFFICER | NA | |
| HOLT, GRADY, DOUGLAS | I | CHIEF COMPLIANCE OFFICER | NA | |
| MARS, JAMES, MARSHALL | I | PRESIDENT/CEO | E | Control |
| MARS, JAMES, MARSHALL | I | PRESIDENT/CEO | E | Control |
| MARS, JAMES, MARSHALL | I | PRESIDENT/CEO | E | Control |
| MARS, JAMES, MARSHALL | I | PRESIDENT/CEO | E | Control |
| MARS, JAMES, MARSHALL | I | PRESIDENT/CEO | E | Control |
| MARS, JAMES, MARSHALL | I | PRESIDENT/CEO | E | Control |
Registrations
Federal
IA
Sep 7, 2005 REGISTERED
Notice Filings (3)
IA IL NE
Address
6919 VISTA DRWEST DES MOINES, IA 50266-9313
USA
Phone: 515-224-4032