QC
QC

Quincy Deearl Caldwell

13 Years of Experience
5 DisclosuresSells Insurance
Areas of Practice
Investment ManagementRetirement PlanningTax PlanningEstate PlanningFinancial Planning & CoachingInsurance Planning
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
9 advisors
Number of Clients
170 clients
Average Client Portfolio
$518K average
Assets Under Management
$88.0M

Fee Structure

Minimum Investment:None
Financial Planning:Investment management only
AUM-Based Fees (Tiered)
Assets Under ManagementAnnual Fee
Up to $250K1.50%
$250K - $500K1.25%
$500K - $1.0M1.00%
$1.0M - $2.0M0.85%
$2M+0.85%

Fees negotiable for accounts over $2,000,000.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location

Phoenix, AZ

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History

Regulatory History (5)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
March 2020
Final
Judgment / Lien
May 2013
Judgment / Lien
April 2012
Employment Separation After Allegations
September 2011
Judgment / Lien
April 2010
Other Business ActivitiesSells Insurance

Quincy is involved in financial and insurance sales and services, dedicating a few hours per week, and owns rental real estate property, dedicating minimal time. He is also an officer at Financial Depot LLC, an insurance agency that sells life insurance and indexed annuities, dedicating about 10-20% of his time, and is the treasurer for Old Danville Shepardhill Cemetary, dedicating minimal time.

Employment History
Current Registrations
Empirikal Partners LLC
January 2023 - Present · 3 yrs 1 mo
Previous Registrations
Supreme Alliance LLC
October 2020 - January 2023 · 2 yrs 3 mos
Supreme Alliance LLCBroker
October 2020 - January 2023 · 2 yrs 3 mos
Planmember Securities Corporation
October 2013 - October 2018 · 5 yrs
Planmember Securities CorporationBroker
October 2013 - October 2018 · 5 yrs
Veritrust Financial, LLCBroker
April 2013 - October 2013 · 6 mos
Veritrust Financial, LLC
April 2013 - October 2013 · 6 mos
Ridgeway Conger Advisory Services
December 2011 - June 2013 · 1 yr 6 mos
Ridgeway & Conger, INC.Broker
November 2011 - June 2013 · 1 yr 7 mos
Veritrust Financial, LLC
March 2011 - September 2011 · 6 mos
Veritrust Financial, LLCBroker
March 2011 - September 2011 · 6 mos
Ims Financial Advisors, INC.
September 2010 - March 2011 · 6 mos
Ims Securities, INC.Broker
June 2010 - March 2011 · 9 mos
State Registrations1 state
TX
Advisor
Exams
No exam information available for this advisor.
Quincy Deearl Caldwell - Financial Advisor | TrueAdvisor