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RIA / WealthAdvisor11 years in industry

Richard Stanley Caldecott

Advisor at PIVOTAL WEALTH AND TAX

PRESTON, MN

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Search this name across graphsid dfx:ria:f98bf094-51bf-a6b7-7e95-55b3d02afbf0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Aug 8, 2016 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: PIVOTAL WEALTH AND TAX
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 4, 2014earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S66
First exam: Nov 4, 2014
First registration: Aug 8, 2016
Dual registered: no
Other names: RICHARD STANLEY CALDECOTT|RICHARD STANLEY CALDECOTT|Richard S Caldecott|Richard S Caldecott|Richard Caldecott|Richard Calecott|Richard Caldecott
IAPD individual key: 6191437

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
PIVOTAL WEALTH AND TAX	State registered	Jan 2, 2026	n/a	yes	PRESTON, MN	Current employment
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	May 28, 2025	Oct 31, 2025	no	Minneapolis, MN	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Aug 22, 2022	May 13, 2025	no	Blaine, MN\|Plymouth, MN\|Roseville, MN\|Roseville, MN\|Woodbury, MN	Previous registration
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Dec 9, 2019	Sep 9, 2022	no	EDINA, MN	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Aug 8, 2016	Nov 13, 2019	no	MINNEAPOLIS, MN\|MINNEAPOLIS, MN\|MINNEAPOLIS, MN\|MINNEAPOLIS, MN\|MINNEAPOLIS, MN\|MINNEAPOLIS, MN	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MML INVESTORS SERVICES, LLC	PIVOTAL WEALTH AND TAX	Oct 31, 2025	Jan 2, 2026	63	Firm change	Ibd to state RIA
J.P. MORGAN SECURITIES LLC	MML INVESTORS SERVICES, LLC	May 13, 2025	May 28, 2025	15	Firm change	Wirehouse to ibd
VALIC FINANCIAL ADVISORS, INC.	J.P. MORGAN SECURITIES LLC	Sep 9, 2022	Aug 22, 2022	-18	Firm change	Ibd to wirehouse
WELLS FARGO ADVISORS	VALIC FINANCIAL ADVISORS, INC.	Nov 13, 2019	Dec 9, 2019	26	Firm change	Wirehouse to ibd

Relationships

Registered with (5)

→ PIVOTAL WEALTH AND TAXRegistered adviserregistration: current employment
Jan 2, 2026 to presentfactForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
May 28, 2025 to Oct 31, 2025factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Aug 22, 2022 to May 13, 2025factForm ADV
→ VALIC FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Dec 9, 2019 to Sep 9, 2022factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Aug 8, 2016 to Nov 13, 2019factForm ADV

Dated events

Occurred
Oct 31, 2025
Advisor changed firm
Richard Stanley Caldecott left Mml Investors Services, Llc for Pivotal Wealth And Tax (registered 2026-01-02)
Form ADVobserved 5 days ago
Occurred
May 13, 2025
Advisor changed firm
Richard Stanley Caldecott left J.P. Morgan Securities Llc for Mml Investors Services, Llc (registered 2025-05-28)
Form ADVobserved 5 days ago
Occurred
Sep 9, 2022
Advisor changed firm
Richard Stanley Caldecott left Valic Financial Advisors, Inc. for J.P. Morgan Securities Llc (registered 2022-08-22)
Form ADVobserved 5 days ago