Justin Caulfield has been Chief Compliance Officer of Insigneo Advisory Services since May 2025, is a control person of the firm and directly owns under 5% of it. Justin Caulfield holds a BA in Political Science from Fairfield University and a JD from Catholic University of America.
Insigneo Advisory Services, LLC is a Miami, FL firm with $5.16B under management, 4,473 clients and 178 advisers across 17 offices, as of its June 2026 filing.
Paul Caulfield is Chief Risk & Compliance Officer of Insigneo. He has served as Chief Risk and Compliance Officer for IBD Bank, Head of Compliance for Citibank's US Commercial Bank, and more recently as Chief Legal Officer and COO for Third Bridge Group. He is an adjunct professor at Fordham University Law School, where he teaches financial crimes compliance. He began his career in the Manhattan District Attorney's Office.
No adviser firm registrations are on Justin Caulfield’s record.
Professional designations
Listed by Insigneo Advisory Services
- Certified in Information Systems Security (CISSP)
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 14 | Compliance Officer Examination | 11 July 2025 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 18 February 2010 |
| Series 66 | Uniform Combined State Law Examination | 9 November 2009 |
| Series 7 | General Securities Representative Examination | 15 September 2009 |
- Name
- Compliance Officer Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Justin Paul Caulfield
- CRD
- 5699024
- Firm
- Insigneo Advisory Services · CRD 282589
- Role
- Chief Compliance Officer
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- insigneo.com
Where does Justin Caulfield work?
Justin Caulfield has been Chief Compliance Officer of Insigneo Advisory Services, LLC since May 2025, and is a control person of the firm.
Does Justin Caulfield have a current investment-adviser registration?
Justin Caulfield has a current broker registration and no current investment-adviser registration.
What exams has Justin Caulfield passed?
Justin Caulfield has passed 4 licensing exams: the Series 7, Series 66, Series 24 and Series 14. The earliest, the Series 7, was passed in September 2009. FINRA credited Justin Caulfield with the SIE, which began in October 2018.
Is Justin Caulfield registered with FINRA?
Yes. Justin Caulfield has a current broker registration, under CRD 5699024.
Source: FINRA BrokerCheck
How can I verify Justin Caulfield’s record?
Search CRD 5699024 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Justin Caulfield’s full registration record.
