Wayne Caldwell has been Principal, Director, Certified Financial Planner of Premier Financial Group since April 1987, is a control person of the firm and directly owns between 25% and 50% of it.
Premier Financial Group Inc is an Eureka, CA firm with $820M under management, 593 clients and 12 advisers in one office, as of its March 2026 filing.
Wayne Caldwell is Founder, Principal and Chairman of the Board of Premier Financial Group. He was a founding principal of the firm, served as President from 1990 to 2010, and has been Chairman of the Board for the last 14 years. Premier and Wayne Caldwell entered a joint venture, DorWay, with Sandor Kovacs of RunRhino, to serve a select group of national clients.
- Premier Financial Group IncCurrent– present · 35 yearsEureka, CA · Adviser representative · Firm CRD 107314
Professional designations
Listed by Premier Financial Group
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
Wayne Caldwell is registered as an investment adviser representative in California, since July 1991.
- CaliforniaSince 5 July 1991
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 8 | General Securities Sales Supervisor Examination (Options Module & General Module) | 28 March 1988 |
| Series 4 | Registered Options Principal Examination | 10 September 1985 |
| Series 63 | Uniform Securities Agent State Law Examination | 9 April 1984 |
| Series 7 | General Securities Representative Examination | 17 March 1984 |
- Name
- General Securities Sales Supervisor Examination (Options Module & General Module)
- Name
- Registered Options Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Wayne Oliver Caldwell
- CRD
- 1252052
- Firm
- Premier Financial Group · CRD 107314
- Role
- Principal, Director, Certified Financial Planner
- Office
- 725 SIXTH STREET, Eureka, CA 95501
- Registration
- Investment adviser registration
- In the industry since
- July 1991
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- premierfinancial.com
Where does Wayne Caldwell work?
Wayne Caldwell has been Principal, Director, Certified Financial Planner of Premier Financial Group Inc since April 1987, and is a control person of the firm.
Is Wayne Caldwell a financial advisor?
Yes. Wayne Caldwell has a current investment-adviser registration in California, through Premier Financial Group since July 1991.
How many years of experience does Wayne Caldwell have?
Wayne Caldwell has 35 years in the financial industry, since July 1991, across 1 adviser firm.
What exams has Wayne Caldwell passed?
Wayne Caldwell has passed 4 licensing exams: the Series 7, Series 63, Series 4 and Series 8. The earliest, the Series 7, was passed in March 1984.
Where is Wayne Caldwell based?
Wayne Caldwell’s registered office is in Eureka, CA.
Is Wayne Caldwell registered with FINRA?
No. Wayne Caldwell has no current broker registration.
Is Wayne Caldwell a CFP?
Premier Financial Group lists Wayne Caldwell with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
Source: Wayne Caldwell, CFP® biography, premierfinancial.com
How can I verify Wayne Caldwell’s record?
Search CRD 1252052 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Wayne Caldwell’s full registration record.
