Sean Justin Caplen

Current Employers

Employment History

• 02/2011 → 10/2018
  Raymond James & Associates
  Boca Raton, FL
• 10/2018 → 07/2022
  National Securities Corp
  Boca Raton, FL
• 10/2018 → 09/2024
  B. Riley Wealth Advisors
  Memphis, TN
• 07/2022 → 09/2024
  B. Riley Wealth Management
  Memphis, TN
• 09/2024 → Present
  Kestra Investment Services Llc
  Boca Raton, FL
• 09/2024 → Present
  Kestra Advisory Services Llc
  Boca Raton, FL

Previous Registrations

• 2018-10-31 → 2024-10-30
  B. Riley Wealth Advisors, Inc.
  Boca Raton, FL
• 2011-07-26 → 2018-11-09
  Raymond James & Associates, Inc.
  Fort Lauderdale, FL
  Weston, FL
  Weston, FL
  Boca Raton, FL

Other Businesses

Business Name: KESTRA ADVISORY SERVICES POS: IAR NOB: Investment advisory services through Kestra Advisory Services, LLC INV REL: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/27/2024 ADDRESS: 5707 Southwest Parkway, Bldng 2, Ste 400, Austin TX 78735 DESC: IAR Business Name: WEALTH EMPOWERMENT FINANCIAL SOLUTIONS POS: Senior Vice President, Investments NOB: Registered rep activities through Kestra Investment Services INV REL: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/27/2024 ADDRESS: 2424 North Federal Highway, suite 400, Boca Raton FL 33431 DESC: This is the DBA and my obligations are only to my clients Business Name: PLACE OF HOPE'S PLANNED GIVING COUNCIL POS: member NOB: Board position (Board of Directors, Board of Trustees, etc.) INV REL: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/16/2024 ADDRESS: 21441 Boca Rio rd, Boca Raton FL 33433 DESC: I assist in fundraising ideas

Exams

• S66 Uniform Combined State Law Examination
  2011-05-05

Other Names

• Sean Justin Coplen
• Sean Justin Caplen
• Sean Caplen