Richard Stephen Caplan

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2004-06-04

CT RA
APPROVED

Since 2004-06-04

Branch Locations

Bloomfield, CT • 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 Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Linsco/Private Ledger Corp.	West Hartford	CT	05/2004	Present

05/2004 → Present

Linsco/Private Ledger Corp.

West Hartford, CT

Previous Registrations

1999-07-22 → 2004-06-10

Ws Griffith Securities, Inc.

West Hartford, CT

Other Businesses

1. INVOLVEMENT AS AN INDEPENDENT INSURANCE AGENT SELLING LIFE, HEALTH, LONG TERM CARE, AND DISABILITY INSURANCE PRODUCTS / WEST HARTFORD, CT / APPROVED JUNE 22, 2004 2. 06/12/2008 - CAPLAN & CO./DBA ONLY/WEST HARTFORD, CT 06107

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2000-04-10
S65	Uniform Investment Adviser Law Examination	1999-06-29

S63 Uniform Securities Agent State Law Examination

2000-04-10
S65 Uniform Investment Adviser Law Examination

1999-06-29

View on SEC IAPD