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Connor Edward Caplinger

Ubs Financial Services Inc.

New Orleans, LA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2026-05-18
  • LA RA
    APPROVED
    Since 2026-05-18

Branch Locations

909 Poydras Street Suite 2900, New Orleans, LA 70112 • 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
Mulates New Orleans LA 06/2022 08/2022
Cemi-Usa New Orleans LA 06/2021 08/2021
Ubs New Orleans LA 07/2024 08/2024
Lumen Hotel Dallas TX 06/2023 08/2023
Smu Dallas TX 08/2021 06/2025
Ubs Financial Services Inc New Orleans LA 07/2025 Present
Christ Episcopal / Jesuit New Orleans LA 08/2015 05/2021
  • 06/2022 → 08/2022
    Mulates
    New Orleans, LA
  • 06/2021 → 08/2021
    Cemi-Usa
    New Orleans, LA
  • 07/2024 → 08/2024
    Ubs
    New Orleans, LA
  • 06/2023 → 08/2023
    Lumen Hotel
    Dallas, TX
  • 08/2021 → 06/2025
    Smu
    Dallas, TX
  • 07/2025 → Present
    Ubs Financial Services Inc
    New Orleans, LA
  • 08/2015 → 05/2021
    Christ Episcopal / Jesuit
    New Orleans, LA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-03-06
  • S66 Uniform Combined State Law Examination
    2026-03-06

View on SEC IAPD

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Other Investors

CHRISTINE CHAMPAGNE MONTZ
JOSEPH CHARLES MONTZ
Morell S Crane
Bennett Lyle Duffy
ALEXANDER BRUCE HARCUS
Mary Elizabeth Brown
RONALD H. DAWSON, JR.
Jessica Leigh Marasco

Other Offices

MONTZ HARCUS WEALTH MANAGEMENT · NEW ORLEANS, LA
BEACON POINTE ADVISORS, LLC · NEW ORLEANS, LA
EDWARD JONES · NEW ORLEANS, LA
LPL FINANCIAL LLC · NEW ORLEANS, LA
STATE FARM INVESTMENT MANAGEMENT CORP. · New Orleans, LA
STATE FARM INVESTMENT MANAGEMENT CORP. · NEW ORLEANS, LA
LPL FINANCIAL LLC · NEW ORLEANS, LA
CETERA INVESTMENT ADVISERS LLC · NEW ORLEANS, LA

More in New Orleans, LA

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