SC
Sean J. Caplen
KESTRA ADVISORY SERVICES
Boca Raton, FL 33431
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CRD#: 4212281
SC
Professional summary
Sean Justin Caplen, who also goes by Sean Justin Coplen, Sean Caplen, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Boca Raton, Florida and KESTRA INVESTMENT SERVICES, LLC located in Boca Raton, Florida.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Sean has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sean Justin Coplen | Sean Caplen
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.
Business Name: KESTRA ADVISORY SERVICES POS: IAR NOB: Investment advisory services through Kestra Advisory Services, LLC INV REL: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/27/2024 ADDRESS: 5707 Southwest Parkway, Bldng 2, Ste 400, Austin TX 78735 DESC: IAR Business Name: WEALTH EMPOWERMENT FINANCIAL SOLUTIONS POS: Senior Vice President, Investments NOB: Registered rep activities through Kestra Investment Services INV REL: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/27/2024 ADDRESS: 2424 North Federal Highway, suite 400, Boca Raton FL 33431 DESC: This is the DBA and my obligations are only to my clients Business Name: PLACE OF HOPE'S PLANNED GIVING COUNCIL POS: member NOB: Board position (Board of Directors, Board of Trustees, etc.) INV REL: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/16/2024 ADDRESS: 21441 Boca Rio rd, Boca Raton FL 33433 DESC: I assist in fundraising ideas
CRS (Client Relationship Summary) - RIA
Click below to view Sean Justin Caplen'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®
NoneExperience
Current
October 1, 2024 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 2424 N Federal Hwy, Ste 400, Boca Raton, FL 33431RIA
CRD#: 283330
Boca Raton, FL
Current
October 1, 2024 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 2424 North Federal Highway Suite 400, Boca Raton, FL 33431BD
CRD#: 42046
Boca Raton, FL
Past
July 22, 2022 - October 30, 2024
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
BOCA RATON, FL
Past
October 31, 2018 - October 30, 2024
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
BOCA RATON, FL
Past
October 25, 2018 - July 22, 2022
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
BOCA RATON, FL
Past
July 26, 2011 - November 9, 2018
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
BOCA RATON, FL
Past
April 11, 2011 - November 9, 2018
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
BOCA RATON, FL
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)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.RR
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
RR
California(10/1/2024)
RR
Colorado(4/17/2025)
RR
Connecticut(10/1/2024)
RR
Florida(10/1/2024)
IAR
Florida(10/3/2024)
RR
Georgia(10/1/2024)
RR
Maryland(10/1/2024)
RR
Massachusetts(10/2/2024)
RR
Michigan(10/1/2024)
RR
Missouri(10/1/2024)
RR
New Hampshire(10/1/2024)
RR
New Jersey(10/1/2024)
RR
New York(10/1/2024)
RR
Pennsylvania(10/1/2024)
RR
Texas(10/1/2024)
IAR
Texas(10/1/2024)
RR
Virginia(10/1/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330Boca Raton, FL 33431TRUST BUT VERIFY
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