Craig L. Caplan
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.
Craig Lesavoy Caplan, who also goes by Craig Lesavoy Caplan, was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1992. Craig had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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 10, 2022 - March 13, 2026
TD PRIVATE CLIENT WEALTH LLC
March 9, 2022 - March 13, 2026
TD PRIVATE CLIENT WEALTH LLC
January 25, 2016 - September 24, 2021
CETERA INVESTMENT SERVICES LLC
December 12, 2013 - June 30, 2015
VANGUARD MARKETING CORPORATION
November 29, 2007 - August 26, 2013
CETERA INVESTMENT SERVICES LLC
November 27, 2007 - August 26, 2013
CETERA INVESTMENT SERVICES LLC
April 5, 2004 - November 28, 2007
IFMG SECURITIES, INC.
December 5, 2001 - April 15, 2002
BNY MELLON SECURITIES LLC
July 20, 1998 - December 5, 2001
CONSECO SECURITIES, INC.
May 21, 1996 - June 19, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
February 22, 1995 - May 10, 1996
CRESTAR SECURITIES CORPORATION
November 29, 1993 - January 9, 1995
INDEPENDENT FINANCIAL SECURITIES, INC.
August 20, 1992 - November 29, 1993
MARKETING ONE SECURITIES, INC.
Primary Firm SEC Registration
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
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
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 25,697 |
| AUM (Assets Under Management) | $ 8,255,945,350 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 |
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.
