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Christopher Carl Caposey

Edelman Financial Engines

Phoenix, AZ

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Current Employers
Edelman Financial Engines

3945 Freedom Circle, Santa Clara, CA 95054 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-02-27
AZ RA APPROVED 2017-04-26
  • TX RA
    APPROVED_RES
    Since 2020-02-27
  • AZ RA
    APPROVED
    Since 2017-04-26

Branch Locations

4742 N. 24Th St Suite 400, Phoenix, AZ 85016 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
The Vanguard Group, Inc. Scottsdale AZ 05/2014 02/2017
Financial Engines Advisors L.L.C. Phoenix AZ 02/2017 Present
  • 05/2014 → 02/2017
    The Vanguard Group, Inc.
    Scottsdale, AZ
  • 02/2017 → Present
    Financial Engines Advisors L.L.C.
    Phoenix, AZ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-04-19
S63 Uniform Securities Agent State Law Examination 2011-08-22
  • S65 Uniform Investment Adviser Law Examination
    2017-04-19
  • S63 Uniform Securities Agent State Law Examination
    2011-08-22
Other Names
  • Christopher C Caposey

View on SEC IAPD

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