Thomas S. Caldwell, upon graduating in 1965 from McGill University, joined the trading desk of Royal Securities Corporation, one of Canada’s leading fixed income firms. Remaining with that organization after its purchase by Merrill Lynch & Co., Inc., Mr. Caldwell moved to the equity division and eventually managed all institutional equity trading in Canada. In 1975, he joined a predecessor firm of BMO Nesbitt Burns Inc., the investment affiliate of BMO Harris Private Banking as a Senior Investment Advisor. Mr. Caldwell founded Caldwell Securities Ltd. in 1980 in order to focus on the investment needs of high net worth private clients, charitable organizations and institutional investors. In 2000, Mr. Caldwell became Chairman of Caldwell Financial Ltd., the parent of a group of companies providing brokerage, trading, investment management and insurance services. Mr. Caldwell also serves as lead investment strategist for the Investment Management group as well as their various Limited Partnerships. Mr. Caldwell, as an experienced exchange investor, was actively involved in campaigning for the demutualization of the NYSE and that organization’s becoming a for-profit, publicly-owned corporation. Limited Partnerships managed by the Caldwell group became the second largest owner of NYSE seats (49) prior to the NYSE’s merger with Archipelago Holdings, Inc. Mr. Caldwell regularly commutes between the organization’s Toronto and New York offices and is actively involved in the recently formed Caldwell Advantage, LP, managed by Caldwell Asset Management, Inc. (New York). A major investment focus of the Caldwell group is on global exchanges. Their leading expertise in this area has produced significantly above average returns for their clients.

Thomas Caldwell
Founder / Chairman
Caldwell Asset Management Inc.

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