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Mitchell Marc Caplan

Composition Wealth, LLC

Los Angeles, CA

Clarksville, MD

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Current Employers
Composition Wealth, Llc

11300 West Olympic Blvd Suite 800, Los Angeles, CA 90064 • United States

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2024-03-05
  • MD RA
    APPROVED
    Since 2024-03-05

Branch Locations

11300 West Olympic Blvd Suite 800, Los Angeles, CA 90064 • United States

Clarksville, MD • 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
Caplan Financial Group, Llc Baltimore MD 12/2001 02/2024
Composition Wealth, Llc Baltimore MD 02/2024 Present
  • 12/2001 → 02/2024
    Caplan Financial Group, Llc
    Baltimore, MD
  • 02/2024 → Present
    Composition Wealth, Llc
    Baltimore, MD
Previous Registrations
  • 2010-05-26 → 2024-03-11
    Caplan Financial Group, Llc
    Clarksville, MD
Other Businesses

1) Licensed Insurance Agent; Not investment-related; 11810 Chapel Estates Drive, Clarksville, MD 21029; Insurance Sales; Implementations of insurance recommendations

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-05-25
S63 Uniform Securities Agent State Law Examination 1995-02-09
  • S65 Uniform Investment Adviser Law Examination
    2010-05-25
  • S63 Uniform Securities Agent State Law Examination
    1995-02-09
Other Names
  • Mitch Caplan

View on SEC IAPD

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