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Clifford Laurence Caplan

Commonwealth Financial Network

Canton, MA

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Current Employers
Commonwealth Financial Network

275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2003-01-07
  • MA RA
    APPROVED
    Since 2003-01-07

Branch Locations

960 Turnpike Street Suite 1B, Canton, MA 02021 • 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
Commonwealth Equity Services, Inc. Norwood MA 12/1981 Present
Caplan Wealth Partners Canton MA 07/2026 Present
  • 12/1981 → Present
    Commonwealth Equity Services, Inc.
    Norwood, MA
  • 07/2026 → Present
    Caplan Wealth Partners
    Canton, MA
Other Businesses

Fixed insurance sales; as of 2004; 40% of time spent during business hours; Conducted at branch location; Investment related.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1981-07-23
  • S63 Uniform Securities Agent State Law Examination
    1981-07-23
Designations
Other Names
  • Clifford Laurence Caplan
  • Clifford Lawrence Caplan

View on SEC IAPD

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Other Offices

STRATEGIC FINANCIAL ALLIANCE, LLC · CANTON, MA
COMMONWEALTH FINANCIAL NETWORK · Canton, MA
COMMONWEALTH FINANCIAL NETWORK · CANTON, MA
EXCHANGE PLACE ADVISORS, LLC · Canton, MA
CITIZENS SECURITIES, INC. · STOUGHTON, MA
TRANSAMERICA FINANCIAL ADVISORS, LLC · CANTON, MA
OSAIC INSTITUTIONS, INC. · CANTON, MA
MML INVESTORS SERVICES, LLC · CANTON, MA

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