Gregory Robert Caldwell
Investment Adviser Representative at Summit Global Investments, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Gregory Robert Caldwell is an investment adviser representative with Summit Global Investments, LLC in Centennial, CO, where they have been registered since 2023. They have worked in the securities industry since 2018 and have been registered with 3 firms, including United Planners' Financial Services of America A Limited Partner and Transamerica Financial Advisors, Inc. They have passed 4 industry qualification exams, including the Series 65 (investment adviser), Series 63 (state securities agent), and Series 6 (investment company and variable products). They are registered to provide investment advice in Arizona, California, Colorado, Florida, and Texas.
Registrations & licenses
- Investment adviser:
- Arizona, California, Colorado, Florida, Texas
- Broker:
19 states and territories
Arizona, California, Colorado, Connecticut, Florida, Illinois, Michigan, New Hampshire, North Carolina, North Dakota, Ohio, Pennsylvania, South Carolina, South Dakota, Tennessee, Texas, Utah, Virginia, Wisconsin
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.
- Transamerica Financial Advisors, IncDec 2017 – Sep 2023Greenwood Village, CO
- World Financial Group, Inc.Feb 2017 – Sep 2023Greenwood Village, CO
- G and G ENTERPRISESMar 2015 – no end date reportedCentennial, CO
- College Loan Freedom.comJul 2019 – Sep 2023Henderson, NV
- United PlannersNov 2023 – Aug 2025Scottsdale, AZ
- Summit Global InvestmentSep 2023 – no end date reportedBountiful, UT
- Greg R Caldwell-Fixed InsuranceSep 2023 – no end date reportedCentennial, CO
- Summit Global Investments LLCOct 2023 – no end date reportedCentennial, CO
- Equity Services, Inc.Aug 2025 – no end date reportedMontpelier, VT
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Summit Global Investments, 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
- Performance-based fees
- Other
- Less than $500,0002.00%
- $500,000 to $999,9991.70%
- $1,000,000 and above1.50%
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
Global equity, enhanced global income, alternative strategies, U.S. large cap equity, U.S. small cap core equity strategies; mutual funds and ETFs
Client types the firm serves
Firm assets under management
$1B–$5B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 98
- Offices listed on AdvisorFinder:
- 5
- Main office:
- Bountiful, UT
- SEC file number:
- 801-76631
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of June 24, 2026
View full firm profileOther advisors at Summit Global Investments, LLC
Showing 12 of 98 in the directory
Similar advisors in Centennial, CO
Other advisors whose filed branch office is in the same city.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Gregory Robert 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.
Find the right advisor for you
Take the free 3-minute assessment to get matched with advisors who fit your goals.
Get Matched