Emmanuel Caldwell
Investment Adviser Representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Emmanuel Caldwell is an investment adviser representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Springfield Gardens, NY, where they have been registered since 2025. They have worked in the securities industry since 2024. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in New York and Texas.
Registrations & licenses
- Investment adviser:
- New York, Texas
- Broker:
18 states and territories
California, Connecticut, Delaware, District of Columbia, Florida, Georgia, Maine, Maryland, Massachusetts, New Hampshire, New Jersey, New York, North Carolina, Pennsylvania, Rhode Island, Texas, Vermont, Virginia
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedOct 2024 – no end date reportedSpringfield Gardens, NY
- Bank of AmericaJul 2024 – Oct 2024Lynbrook, NY
- Bank of AmericaNov 2022 – Jul 2024Williamsburg, VA
- GYMGUYZ North QueensAug 2024 – no end date reportedBaldwin, NY
- GYMGUYZ WilliamsburgJun 2021 – Feb 2024Williamsburg, VA
- University InstructorsMar 2022 – Aug 2022Newport News, VA
- Versability ResourcesJul 2021 – Feb 2022Hampton, VA
- AHRC NassauMay 2020 – Jul 2021Freeport, NY
- UnemployedFeb 2020 – May 2020Valley Stream, NY
- HESSFeb 2020 – Apr 2020Qidu
- UnemployedNov 2019 – Jan 2020Valley Stream, NY
- Education FirstNov 2018 – Nov 2019Beijing
- UnemployedSep 2018 – Nov 2018Valley Stream, NY
- United States Postal ServiceApr 2018 – Sep 2018Oakdale, NY
- Raymour and FlaniganSep 2017 – May 2018Lawrence, NY
- Raymour and FlaniganMay 2016 – Sep 2017Valley Stream, NY
- AmazonMar 2020 – Apr 2020Freeport, NY
- Bank of America, N.A.Nov 2024 – no end date reportedSpringfield Gardens, NY
Official records & sources
Data as of June 29, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Merrill Lynch, Pierce, Fenner & Smith Incorporated
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Commissions
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Small Business 401(k) plans including Group 401(k) and Individual 401(k), SEP IRA, SIMPLE IRA, investment fiduciary services, recordkeeping, trading, custodial and financial wellness services, and call center educational support for employees.
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 25,472
- Offices listed on AdvisorFinder:
- 26
- Main office:
- New York, NY
- SEC file number:
- 801-14235
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 24, 2026
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Emmanuel Caldwell has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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