Richard Caplan
Richard Caplan is a registered investment advisor at LPL Financial LLC, based in Bloomfield, CT, with 48 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
Bloomfield, CT
Get directionsHistory
Regulatory History (6)
Customer Dispute
July 1998Criminal
April 1981Criminal
December 1980Criminal
February 1980Criminal
July 1974Criminal
April 1974Other Business ActivitiesSells Insurance
Richard is an independent insurance agent selling life, health, long-term care, and disability insurance products since 2004. He also has a DBA called Caplan & Co. since 2008.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Ws Griffith Securities, INC.
Ws Griffith Securities, INC.Broker
Phoenix Equity Planning CorporationBroker
State Registrations10 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.