Erin Geraldine Caldwell
Investment Adviser Representative at LPL Financial LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Erin Geraldine Caldwell is an investment adviser representative with LPL Financial LLC in Palm Beach Gardens, FL, where they have been registered since 2025. They have worked in the securities industry since 2022 and have been registered with 3 firms, including Northwestern Mutual Investment Services,llc and Morgan Stanley. 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 Florida.
Office
Advisors at this office: 3
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Florida
- Broker:
2 states and territories
Florida, Maryland
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.
- Morgan Stanley Smith Barney LLCOct 2020 – Apr 2023Jericho, NY
- UBS Financial ServicesJun 2020 – Oct 2020Jericho, NY
- Long Island University - PostJul 2019 – Apr 2020Brookville, NY
- MediTechNov 2018 – Apr 2019Foxbourough, MA
- Providence CollegeAug 2014 – May 2018Providence, RI
- Edelstein and CompanyAug 2018 – Oct 2018Boston, MA
- Morgan Stanley Private Bank, N.AApr 2022 – Apr 2023New York, NY
- Northwestern Mutual Investment Services LLCMay 2023 – Jun 2025West Palm Bch, FL
- David J SiegelMar 2023 – Jun 2025West Palm Bch, FL
- UnemployedJun 2025 – Sep 2025Palm Beach Gardens, FL
- LPL Financial LLCOct 2025 – no end date reportedPalm Beach Gardens, FL
Official records & sources
Data as of June 28, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About LPL Financial LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- 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
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 24,114
- Offices listed on AdvisorFinder:
- 25
- Main office:
- Fort Mill, SC
- SEC file number:
- 801-10970
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 21, 2026
View full firm profileOther advisors at LPL Financial LLC
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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. Erin Geraldine 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.
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