Advisory, Trading & Brokerage
Caldwell Securities Ltd. adheres to the following guidelines in order to ensure that clients can receive significant benefits while avoiding conflicts or partial services without safeguards.
- Only one class of client – the investor – not corporations requiring financing
- No new issue banking group participation – client driven interest only
- No margin accounts
- No corporate trading against clients
- Bonded custodial services – Canadian Depository (CDN) and Depository Trust (US)
- No delivery charges
- Continual outside audits of holdings and procedures
- Significant client inputs via the brokerage side
- Sharp market awareness
- No soft dollar deals on commissions (versus counselors)