John Alan Caplan

Employer firm

Newedge Advisors CRD 171351

$43.2B regulatory AUM 122 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2007 → 04/2022
  Tiaa
  Hamden, CT
• 06/2007 → 04/2022
  Tiaa-Cref Individual & Institutional Services, Llc
  Hamden, CT
• 04/2022 → Present
  Newedge Securities, Inc
  Pittsburgh, PA
• 04/2022 → Present
  Newedge Advisors
  New Orleans, LA

Previous Registrations

• 2007-08-14 → 2022-03-03
  Tiaa-Cref Individual & Institutional Services, Llc
  Hamden, CT
• 2005-04-04 → 2007-06-14
  People'S Securities, Inc.
  Bridgeport, CT
  Branford, CT
  Madison, CT
• 2001-05-03 → 2005-04-05
  Citizens Securities, Inc.
  Rocky Hill, CT

Exams

• S66 Uniform Combined State Law Examination
  1999-05-25