Michael W. Caplin

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CRD#: 1067321

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Michael William Caplin was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1983. Michael had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 8, 2015 - January 4, 2016

ORION PORTFOLIO SOLUTIONS, LLC

RIA

CRD#: 107975

GRAYSLAKE, IL

Past

October 6, 2003 - January 4, 2016

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

ELKHORN, NE

Past

July 8, 2001 - December 31, 2014

ORION PORTFOLIO SOLUTIONS, LLC

RIA

CRD#: 107975

GRAYSLAKE, IL

Past

June 16, 1997 - November 5, 2003

ORBITEX FUNDS DISTRIBUTOR, INC.

CRD#: 41453

STAMFORD, CT

Past

March 13, 1995 - December 31, 1996

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

October 15, 1992 - March 16, 1995

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

December 24, 1986 - October 21, 1992

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 6, 1983 - December 24, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

MINNEAPOLIS, MN

Past

January 6, 1983 - October 21, 1992

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ORION PORTFOLIO SOLUTIONS, LLC

CRD#: 107975 / SEC#: 801-57265

RIA

Registered Investment Advisory firm - (1/1/2000 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/19/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/7/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/4/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/20/1986

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 8/22/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 1/5/1983

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ORION PORTFOLIO SOLUTIONS, LLC

CRD#: 107975 / SEC#: 801-57265

RIA

Registered Investment Advisory firm - (1/1/2000 Approved)

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Contact information

Main Address

17605 Wright St, Omaha, NE 68130

Mailing Address

2300 Litton Lane Suite 100, Hebron, KY 41048

Phone number

(859) 426-2000

Established

Firm type

Fiscal year end

# of Employees

350

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ORION PORTFOLIO SOLUTIONS, LLC FORM ADV PART 2A (8/11/2025)

ORION PORTFOLIO SOLUTIONS, LLC WRAP FEE BROCHURE (8/11/2025)

Regulatory assets under management

Total Number of Accounts	203,878
AUM (Assets Under Management)	$ 57,658,151,186

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/28/2025	Cover Page	Report
10/21/2024	Cover Page	Report
01/17/2024	Cover Page	Report
10/25/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Michael W. Caplin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NORTHERN LIGHTS DISTRIBUTORS, LLC

ORION PORTFOLIO SOLUTIONS, LLC

ORBITEX FUNDS DISTRIBUTOR, INC.

SECURITIES AMERICA, INC.

OSAIC WEALTH, INC.

IDS LIFE INSURANCE COMPANY

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

ORION PORTFOLIO SOLUTIONS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/19/1996

Series 63

Date: 12/7/1982

SIE

Date: 1/4/2016

Series 7

Date: 9/20/1986

Series 22

Date: 8/22/1984

Series 6

Date: 1/5/1983

Current Firm

ORION PORTFOLIO SOLUTIONS, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ORION PORTFOLIO SOLUTIONS, LLC

TRUST BUT VERIFY

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