Unclaimed Profile

Glenn Andrew Caldicott

EMPIRICAL ASSET MANAGEMENT, LLC·WELLESLEY, Massachusetts

SIE, Series 7, Series 7TO, Series 63, Series 6519 years registeredEMPIRICAL ASSET MANAGEMENT, LLC

57 RIVER STREET, WELLESLEY, MA 02481CRD# 1367578Firm CRD# 155436

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Glenn Andrew Caldicott · WELLESLEY, MA

Registration

CRD #1367578 · EMPIRICAL ASSET MANAGEMENT, LLC · 19 years registered

Brand Profile

Not yet started

Career History

EMPIRICAL ASSET MANAGEMENT, LLC

Dec 2021 – present

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Sep 2006 – Nov 2021

NEWTON, MA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 7TO

Series 63

Series 65

Registration record

First registered · September 22, 2006

Years registered · 19

Disclosure History

1996Customer Dispute·Settled

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

EMPIRICAL ASSET MANAGEMENT, LLC

CRD 155436 · SEC 801-71967

AUM

$329M

Regulatory assets under management

Employees

1,058 client accounts

Services offered by EMPIRICAL ASSET MANAGEMENT, LLC

Per Form ADV

Portfolio management (individuals)

Pension consulting

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Other

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

View all advisors at EMPIRICAL ASSET MANAGEMENT, LLC →

Introduction

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Frequently Asked Questions

What services does Glenn Andrew Caldicott offer?

Glenn Andrew Caldicott specializes in Investment Management, Retirement Planning, Wealth Management. Contact their office in WELLESLEY, Massachusetts for a consultation.

What are Glenn Andrew Caldicott's credentials?

Glenn Andrew Caldicott is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Glenn Andrew Caldicott located?

Glenn Andrew Caldicott is based in WELLESLEY, Massachusetts, working with EMPIRICAL ASSET MANAGEMENT, LLC. Their office serves clients in the WELLESLEY metropolitan area and surrounding communities.

How does Glenn Andrew Caldicott charge for services?

Glenn Andrew Caldicott's firm is compensated through percentage of aum, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is EMPIRICAL ASSET MANAGEMENT, LLC?

EMPIRICAL ASSET MANAGEMENT, LLC has approximately 12 employees and manages $329M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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