Craig L. Caplan

TD PRIVATE CLIENT WEALTH LLC

Exton, PA 19341

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CRD#: 2266375

Professional summary

Craig Lesavoy Caplan, who also goes by Craig Lesavoy Caplan, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Exton, Pennsylvania.

Craig is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Craig has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Craig Lesavoy Caplan

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) - RIA

Click below to view Craig Lesavoy Caplan's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Craig Lesavoy Caplan's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

March 10, 2022 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 100 Iron Lake Blvd, Exton, PA 19341

RIA

CRD#: 164484

Exton, PA

Current

March 9, 2022 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 100 Iron Lake Blvd, Exton, PA 19341

RIA

CRD#: 164484

Exton, PA

Past

January 25, 2016 - September 24, 2021

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

MCMURRAY, PA

Past

December 12, 2013 - June 30, 2015

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

Past

November 29, 2007 - August 26, 2013

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

KING OF PRUSSIA, PA

Past

November 27, 2007 - August 26, 2013

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

KING OF PRUSSIA, PA

Past

April 5, 2004 - November 28, 2007

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

December 5, 2001 - April 15, 2002

BNY MELLON SECURITIES LLC

CRD#: 47268

JERSEY CITY, NJ

Past

July 20, 1998 - December 5, 2001

CONSECO SECURITIES, INC.

CRD#: 29367

CARMEL, IN

Past

May 21, 1996 - June 19, 1998

INDEPENDENT FINANCIAL SECURITIES, INC.

CRD#: 19924

Past

February 22, 1995 - May 10, 1996

CRESTAR SECURITIES CORPORATION

CRD#: 17464

RICHMOND, VA

Past

November 29, 1993 - January 9, 1995

INDEPENDENT FINANCIAL SECURITIES, INC.

CRD#: 19924

Past

August 20, 1992 - November 29, 1993

MARKETING ONE SECURITIES, INC.

CRD#: 16611

PORTLAND, OR

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".

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484 / SEC#: 801-77771, 8-69105

RIA

Registered Investment Advisory firm - SEC (4/11/2013 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(3/10/2022)

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: 7/21/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/18/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/21/1995

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/18/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/16/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484 / SEC#: 801-77771, 8-69105

RIA

Registered Investment Advisory firm - SEC (4/11/2013 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1 Vanderbilt Avenue 23rd Floor 23rd Floor, New York, NY, 10017

Mailing Address

1 Vanderbilt Avenue 23rd Floor, New York, NY, 10017

Phone number

(877) 703-9896

Established

Delaware since 07/13/2012

Firm type

Limited Liability Company

Fiscal year end

October

Firm Size

Large

# of Employees

662

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

TD PRIVATE CLIENT WEALTH LLC MANAGED ACCOUNT PROGRAM BROCHURE JANUARY 31 2025 (1/31/2025)

TDPCW AUTOMATED INVESTING AND AUTOMATED INVESTING PLUS PROGRAM BROCHURE JANUARY 31 2025 (1/31/2025)

Direct owners and executive officers

Name	Position	CRD#
TD BANK, NATIONAL ASSOCIATION	OWNER
BEAM, JAMES HENRY JR.	PRESIDENT	4274924
CALDERON NAJERA, NAYRA	CCO	5040972
CHABOT, ALAN J	CEO	2617874
ORTIZ, JORGE LUIS	CFO & FINOP	2725922
SCHAUTZ, JOHN LOUIS III	COO	1430568
WILSON, KEVIN KEITH	FINOP	5437711

Regulatory assets under management

Total Number of Accounts	17,824
AUM (Assets Under Management)	$ 6,450,375,507

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/30/2025	Cover Page	Report
09/27/2024	Cover Page	Report
06/27/2023	Cover Page	Report
12/21/2022	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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Advisor Monitoring

Firm Stability Insights

Craig L. Caplan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Craig Lesavoy Caplan's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Craig Lesavoy Caplan's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD PRIVATE CLIENT WEALTH LLC

CETERA INVESTMENT SERVICES LLC

VANGUARD MARKETING CORPORATION

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

IFMG SECURITIES, INC.

BNY MELLON SECURITIES LLC

CONSECO SECURITIES, INC.

INDEPENDENT FINANCIAL SECURITIES, INC.

CRESTAR SECURITIES CORPORATION

INDEPENDENT FINANCIAL SECURITIES, INC.

MARKETING ONE SECURITIES, INC.

Primary Firm SEC Registration

TD PRIVATE CLIENT WEALTH LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/21/1997

Series 63

Date: 8/18/1992

SIE

Date: 10/1/2018

Series 7

Date: 2/21/1995

Series 6

Date: 8/18/1992

Series 24

Date: 11/16/2007

FINRA

Current Firm

TD PRIVATE CLIENT WEALTH LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

TD PRIVATE CLIENT WEALTH LLC

TRUST BUT VERIFY

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