Jason D. Caperton

ADP BROKER-DEALER

Florham Park, NJ 07932

Some features on this profile are disabled

CRD#: 4159340

Professional summary

Jason Donald Caperton, AIF® is a registered financial professional currently at ADP BROKER-DEALER, INC. located in Florham Park, New Jersey.

Jason is registered as a RR (Registered Representative) and started their career in finance in 2000. Jason has worked at 8 firms and has passed the Series 65, Series 66, Series 63, SIE and Series 7 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.

Associated person of ADP Strategic Plan Services, LLC as a sales representative which offers investment management and advisory services to plan sponsors. Address: 1 ADP Boulevard Roseland, NJ 07068 United States Start Date of Relationship: 07/2023 Approximate # of Hours per month (during trading hours): 60 hours Business Nature: Financial Services Description of Duties: Associated person of ADP Strategic Plan Services, LLC as a sales representative which offers investment management and advisory services to plan sponsors.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jason Donald Caperton's 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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

July 3, 2023 - Present

ADP BROKER-DEALER, INC.

Office #1: 71 Hanover Road, Florham Park, NJ 07932

CRD#: 37693

Florham Park, NJ

Past

November 5, 2014 - July 10, 2023

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

Layton, UT

Past

November 4, 2014 - July 10, 2023

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

SALT LAKE CITY, UT

Past

August 25, 2014 - October 15, 2014

TRANSAMERICA RETIREMENT ADVISORS, LLC

RIA

CRD#: 107319

NORTH SALT LAKE, UT

Past

March 3, 2011 - October 15, 2014

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

NORTH SALT LAKE, UT

Past

January 1, 2008 - January 26, 2011

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SALT LAKE CITY, UT

Past

October 9, 2007 - January 27, 2011

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

SALT LAKE CITY, UT

Past

May 10, 2007 - January 1, 2008

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SALT LAKE CITY, UT

Past

October 22, 2003 - April 2, 2007

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

SALT LAKE CITY, UT

Past

October 22, 2003 - April 2, 2007

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SALT LAKE CITY, UT

Past

October 25, 2001 - May 2, 2003

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

SALT LAKE CITY, UT

Past

June 2, 2000 - April 30, 2003

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(5/21/2025)

California
(10/30/2023)

Colorado
(10/8/2025)

Delaware
(7/17/2025)

Idaho
(7/6/2023)

Illinois
(9/25/2024)

Nevada
(7/8/2025)

New York
(6/26/2024)

North Carolina
(10/21/2025)

Oregon
(9/4/2025)

Texas
(6/20/2024)

Utah
(7/3/2023)

Washington
(10/29/2025)

Exams

State Security Law Exam

IAR

Series 65

Date: 8/21/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/11/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/8/2000

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: 6/1/2000

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ADP BROKER-DEALER, INC.

CRD#: 37693 / SEC#: , 8-47885

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

One Adp Boulevard, Roseland, NJ 07068-1786

Mailing Address

71 Hanover Road Ms - 580, Florham Park, NJ 07932

Phone number

(973) 712-2316

Established

New Jersey since 07/12/1994

Firm type

Corporation

Fiscal year end

June

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ADP ATLANTIC, LLC	SHAREHOLDER
BARRENECHEA, PATRICIA MARGOT	FINOP	1715189
BLAKE, JAMES PATRICK	PRESIDENT, DIRECTOR	3078844
BOYLE, JAMES RICHARD	AML OFFICER	3137180
DOSPASSOS-KRIEG, KRISTIN ANNE	DIRECTOR	3079254
HANLEY, JUANITA DAVIDA	CHIEF COMPLIANCE OFFICER, VICE PRESIDENT	5217439
HODGES, JEFFRY AARON	DIRECTOR	5865575
HUREAU, MICHAEL RAY	DIRECTOR	5990787
MCCUE, TERRANCE	RISK MANAGEMENT OFFICER	7259942

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.

Similar Advisors

Sungmin Ryan Park

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

Florham Park, NJ

Shivam Mittal

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Summit, NJ

Theresa Henry

PFS INVESTMENTS INC.

East Rutherford, NJ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jason D. Caperton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jason Donald Caperton's CRS (Customer Relationship Summary).

Certified licenses

Experience

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TRANSAMERICA RETIREMENT ADVISORS, LLC

TRANSAMERICA INVESTORS SECURITIES, LLC

FIDELITY BROKERAGE SERVICES LLC

STRATEGIC ADVISERS LLC

FIDELITY DISTRIBUTORS COMPANY LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/21/2014

Series 66

Date: 9/11/2001

Series 63

Date: 6/8/2000

SIE

Date: 10/1/2018

Series 7

Date: 6/1/2000

FINRA

Current Firm

ADP BROKER-DEALER, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ADP BROKER-DEALER, INC.

TRUST BUT VERIFY

Similar Advisors