Lance R. Caplin
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.
Lance Ronald Caplin was a registered financial professional .
Lance is a previously registered financial professional and started their career in finance in 1982. Lance had worked at 25 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 7, Series 22 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2018 - November 3, 2022
SILVER LEAF PARTNERS, LLC
January 22, 2016 - March 30, 2016
MSI FINANCIAL SERVICES, INC.
September 9, 2013 - December 31, 2013
RICHFIELD ORION INTERNATIONAL, INC.
July 26, 2011 - August 29, 2011
NELSONREID, INC.
May 26, 2011 - August 29, 2011
NELSONREID, INC.
February 9, 2011 - June 3, 2011
CIM SECURITIES, LLC
February 10, 2009 - May 26, 2009
FORTA FINANCIAL GROUP, INC.
February 9, 2009 - May 26, 2009
FORTA FINANCIAL GROUP, INC.
April 28, 2008 - July 21, 2008
FFEC WEALTH PARTNERS LLC
April 28, 2008 - July 21, 2008
FFEC WEALTH PARTNERS LLC
October 9, 2006 - December 31, 2006
CAPWEST SECURITIES, INC.
October 4, 2006 - December 31, 2006
CAPWEST SECURITIES, INC.
November 8, 2004 - August 22, 2005
UNITED SECURITIES ALLIANCE, INC.
June 15, 2004 - August 22, 2005
UNITED SECURITIES ALLIANCE, INC.
April 21, 2003 - June 3, 2003
GRUBB & ELLIS SECURITIES, INC.
June 26, 2002 - May 2, 2003
QUEST CAPITAL STRATEGIES, INC.
May 14, 1998 - June 13, 2000
THE LEADERS GROUP, INC.
August 3, 1995 - May 7, 1996
OSAIC WEALTH, INC.
March 16, 1994 - January 11, 1995
MORGAN STANLEY DW INC.
October 25, 1993 - January 7, 1994
FIRST COLORADO FINANCIAL SERVICES COMPANY, INC.
July 14, 1993 - November 1, 1993
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
December 5, 1988 - April 29, 1989
LUMIERE SECURITIES, INC.
August 29, 1986 - February 11, 1987
SOUTHMARK FINANCIAL SERVICES, INC.
July 7, 1986 - February 3, 1987
GLOBAL CAPITAL INVESTORS CORPORATION
December 2, 1985 - February 27, 1986
MOUNTAINVIEW SECURITIES, LLC
May 31, 1985 - February 28, 1986
NEWMAN INVESTMENT SECURITIES, INC.
January 30, 1985 - September 4, 1985
CRICO SECURITIES CORPORATION
September 6, 1983 - September 5, 1984
E. F. HUTTON & COMPANY INC
March 23, 1983 - August 1, 1983
KIDDER, PEABODY & CO. INCORPORATED
October 21, 1982 - September 12, 1983
ORION SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SILVER LEAF PARTNERS, LLC
CRD#: 126694 / SEC#: , 8-65902
Contact information
FINRA licenses (50 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
