James N. Caplinger
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.
James Neal Caplinger, who also goes by James Caplinger, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1993. James had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 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
September 13, 2013 - February 16, 2016
PEOPLE'S SECURITIES, INC.
August 17, 2010 - June 28, 2013
FIFTH THIRD SECURITIES, INC.
August 13, 2010 - June 28, 2013
FIFTH THIRD SECURITIES, INC.
November 13, 2009 - August 10, 2010
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - August 10, 2010
PNC WEALTH MANAGEMENT LLC
September 10, 2009 - November 13, 2009
NATCITY INVESTMENTS, INC.
September 10, 2009 - November 13, 2009
NATCITY INVESTMENTS, INC.
December 3, 2007 - September 2, 2009
THE HUNTINGTON INVESTMENT COMPANY
November 30, 2007 - September 2, 2009
THE HUNTINGTON INVESTMENT COMPANY
November 6, 2007 - November 27, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 6, 2007 - November 27, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 30, 2006 - November 6, 2007
BBVA COMPASS INVESTMENT SOLUTIONS, INC
November 10, 2006 - November 6, 2007
BBVA COMPASS INVESTMENT SOLUTIONS, INC
March 9, 2006 - November 9, 2006
KEY INVESTMENT SERVICES LLC
March 8, 2006 - November 9, 2006
KEY INVESTMENT SERVICES LLC
January 1, 2001 - February 24, 2006
NATCITY INVESTMENTS, INC.
June 2, 2000 - December 31, 2001
NATCITY INSURANCE SERVICES, INC.
June 2, 2000 - February 24, 2006
NATCITY INVESTMENTS, INC.
December 15, 1993 - June 5, 2000
PRUDENTIAL EQUITY GROUP, LLC
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
PEOPLE'S SECURITIES, INC.
CRD#: 13704 / SEC#: 801-63122, 8-29667
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MANUFACTURERS & TRADERS TRUST COMPANY | PARENT | |
| HUNTER, JEFFREY FRANK | PRESIDENT,PRINCIPAL OPERATIONS OFFICER,DIRECTOR | 1851035 |
| KING, MARIE | CORPORATE SECRETARY | 2970483 |
| MCAFEE, MATTHEW JAMES | CHAIRMAN OF THE BOARD AND DIRECTOR | 5456594 |
| MEDREK, EMILY SUI-LING | PRINCIPAL FINANCIAL OFFICER | 3185486 |
| MURPHY, PATRICK JOHN | DIRECTOR | 7563196 |
| RUMANS, TERRI FOGARTY | CHIEF COMPLIANCE OFFICER | 2574833 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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.
