Articles Tagged with Levert Caldwell

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Levert CaldwellPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 12, 2018 indicate that New Jersey-based First Standard Financial Company broker Levert Caldwell, also known as Lee Caldwell, has received customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Caldwell (CRD# 4302934).

Levert Caldwell has spent 14 years in the securities industry and has been registered with First Standard Financial Company in Red Bank, New Jersey since 2015. Previous registrations include National Securities Corporation in Red Bank, New Jersey (2012-2015); Brookstone Securities in Staten Island, New York (2010-2012); Newbridge Securities Corporation in Red Bank, New Jersey (2007-2010); Morgan Stanley DW in Purchase, New York (2005); LH Ross & Company in Boca Raton, Florida (2004); First Montauk Securities Corporation in Red Bank, New Jersey (2003-2004); and TD Waterhouse Investor Services in Omaha, Nebraska (2001-2003). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 10, 2005; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 24, 2001; Series 31 (Futures Managed Funds Examination), which he obtained on May 19, 2005; and Series 7 (General Securities Representative Examination), which he obtained on April 27, 2001. He is a registered broker with 32 US states and territories.

According to his BrokerCheck report, he has received three customer complaints.