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Denver, CO • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2022-05-19 |
| TX | RA | APPROVED | 2022-05-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Denver | CO | 01/2014 | 05/2022 |
| Purshe Kaplan Sterling Investments, Inc. | Denver | CO | 05/2022 | Present |
| Invictus Private Wealth, Llc | Denver | CO | 05/2022 | Present |
1) Invictus Private Wealth. Investment Related. At Registered Location. Nature - Financial Advice and Wealth Management. Position - President/ Owner. Start - 05/2022. 175 hours per month, 160 hours during trading. Duties - Provide financial advice to clients. 2) Fixed Insurance. Investment Related. At Registered Location. 6. Nature - Fixed/ Traditional Insurance. Position - Agent. Start - 05/2022. 5 hours per month, all during trading hours. Duties - Sales of Fixed/ Traditional insurance products. 3) Real Estate Management. Investment Related. Located at 704 F. Street NE, Washington DC and 11469 E. 25th Drive, Aurora CO; 5040 Akron Street, Denver CO. Rental Home Owner. Start - 2005. 0 hours per month. 0 hours month during securities trading hours. Managing Properties. 4) CaplinOgin Investments LLC; Investment Related; At Registered Location; Holding Company; 10/10/2023; 0 hrs/mo; 0 hrs during trading; This is a Holding Company for Tax/Liability purposes for investing in restaurants. 5) Michael Caplan; Michael and Janelle Caplan; Owners; 08/14/2023; 9877 E 31st Ave, Denver, CO 80238; Rental Properties; Approx. 4 hours spent per month; 0 hours spent per month during securities trading hours; Manage Rental Property.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-01-14 |
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