Peter James Caplan

Employer firm

Commonwealth Financial Network CRD 8032

$213B regulatory AUM 20,450 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

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

Current Employers

Commonwealth Financial Network

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

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	1999-10-19

MA RA
APPROVED

Since 1999-10-19

Branch Locations

Foxboro, MA • 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

Organization	City	State	From	To
Commonwealth Equity Services, Inc.	Braintree	MA	01/1999	Present

01/1999 → Present

Commonwealth Equity Services, Inc.

Braintree, MA

Other Businesses

1. FIXED INSURANCE SALES FROM BRANCH LOCATION, INVESTMENT RELATED. 2. CAPLAN ASSET MANAGEMENT, LLC - MANAGING MEMBER OF ENTITY CREATED FOR SECURITIES AND INSURANCE BUSINESS, INVESTMENT RELATED.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-09-28
S63	Uniform Securities Agent State Law Examination	1986-10-16

S65 Uniform Investment Adviser Law Examination

1999-09-28
S63 Uniform Securities Agent State Law Examination

1986-10-16

Designations

Certified Financial Planner

View on SEC IAPD