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John Paul Capistran

Caplo Advisory LLC

Houston, TX

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Current Employers
Caplo Advisory Llc

1203 Waugh Dr., Houston, TX 77019 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-02-06
  • TX RA
    APPROVED
    Since 2023-02-06

Branch Locations

1203 Waugh Dr., Houston, TX 77019 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Aig Retirement Advisors Tampa FL 11/2007 11/2020
Caplo Advisory Llc Houston TX 12/2020 Present
  • 11/2007 → 11/2020
    Aig Retirement Advisors
    Tampa, FL
  • 12/2020 → Present
    Caplo Advisory Llc
    Houston, TX
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-12-23
S63 Uniform Securities Agent State Law Examination 2008-12-10
  • S65 Uniform Investment Adviser Law Examination
    2008-12-23
  • S63 Uniform Securities Agent State Law Examination
    2008-12-10

View on SEC IAPD

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