AC
Andrew B. Caplan
STONEX FINANCIAL
Park City, UT 84098
Some features on this profile are disabled
CRD#: 4235343
AC
Professional summary
Andrew Bogen Caplan, who also goes by Andrew Caplin, is a registered financial professional currently at STONEX FINANCIAL INC. located in Park City, Utah.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 2000. Andrew has worked at 9 firms and has passed the Series 63, Series 57TO, Series 3, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Andrew Caplin
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.
CRS (Client Relationship Summary) - BD
Click below to view Andrew Bogen Caplan'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
March 10, 2021 - Present
STONEX FINANCIAL INC.
Office #1: 1441 W Ute Blvd Suite 280, Park City, UT 84098Office #2: 264 George Street Suite 42.01, Sydney, NSW 2000BD
CRD#: 45993
Park City, UT
Past
June 22, 2015 - February 7, 2025
STONEX OUTSOURCED SERVICES LLC
BD
CRD#: 30773
Park City, UT
Past
June 7, 2013 - August 7, 2015
ELEVATION, LLC
BD
CRD#: 140341
CHARLOTTE, NC
Past
July 26, 2011 - October 11, 2012
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
October 1, 2008 - May 6, 2011
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
July 11, 2007 - October 1, 2008
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
January 9, 2007 - February 27, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
September 23, 2003 - April 12, 2005
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
August 21, 2000 - August 25, 2003
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(12/9/2022)
RR
Alaska(12/9/2022)
RR
Arizona(12/9/2022)
RR
Arkansas(12/9/2022)
RR
California(12/9/2022)
RR
Colorado(12/9/2022)
RR
Connecticut(12/9/2022)
RR
Delaware(12/9/2022)
RR
District of Columbia(12/9/2022)
RR
Florida(3/10/2021)
RR
Georgia(3/10/2021)
RR
Hawaii(12/9/2022)
RR
Idaho(12/9/2022)
RR
Illinois(12/9/2022)
RR
Indiana(12/9/2022)
RR
Iowa(12/9/2022)
RR
Kansas(12/9/2022)
RR
Kentucky(12/9/2022)
RR
Louisiana(12/9/2022)
RR
Maine(12/9/2022)
RR
Maryland(12/9/2022)
RR
Michigan(12/9/2022)
RR
Minnesota(12/9/2022)
RR
Mississippi(12/9/2022)
RR
Missouri(12/9/2022)
RR
Montana(12/9/2022)
RR
Nebraska(12/9/2022)
RR
Nevada(12/9/2022)
RR
New Hampshire(12/9/2022)
RR
New Jersey(12/9/2022)
RR
New Mexico(12/9/2022)
RR
New York(3/10/2021)
RR
North Carolina(12/9/2022)
RR
North Dakota(12/9/2022)
RR
Ohio(12/12/2022)
RR
Oklahoma(12/9/2022)
RR
Oregon(12/9/2022)
RR
Pennsylvania(12/9/2022)
RR
Puerto Rico(12/9/2022)
RR
Rhode Island(12/9/2022)
RR
South Carolina(12/9/2022)
RR
South Dakota(12/9/2022)
RR
Tennessee(12/9/2022)
RR
Texas(12/9/2022)
RR
Utah(3/11/2021)
RR
Vermont(12/9/2022)
RR
Virgin Islands(12/9/2022)
RR
Virginia(12/9/2022)
RR
Washington(12/9/2022)
RR
West Virginia(12/9/2022)
RR
Wisconsin(12/9/2022)
RR
Wyoming(12/9/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/20/2015
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SF
STONEX FINANCIAL INC.
INTERNATIONAL TRADER ASSOCIATION, INC. | STONEX FINANCIAL INC. | STONEX | INTLTRADER.COM, INC. | INTL TRADING, INC. | INTL FCSTONE SECURITIES INC. | INTL FCSTONE FINANCIAL INC.
CRD#: 45993 / SEC#: , 8-51269
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
329 Park Avenue North Suite 350, Winter Park, FL 32789
Mailing Address
329 Park Avenue North Suite 350, Winter Park, FL 32789
Phone number
(407) 741-5300
Established
Florida since 05/29/1998
Firm type
Corporation
Fiscal year end
September
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| DAVISON, STUART ANDREW | DIRECTOR; CHIEF OPERATING OFFICER | 7824576 |
| DICIOLLO, ANTHONY JOSEPH | PRESIDENT/DIRECTOR | 4976402 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR, CHIEF FINANCIAL OFFICER | 6505923 |
| LYON, CHARLES MARTIN | DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER | 4000852 |
| MAURER, MARK L | DIRECTOR, CHIEF RISK OFFICER | 4234406 |
| PORZIO, JOSEPH JOHN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1319702 |
| SMITH, PHILIP ANDREW | DIRECTOR | 4999097 |
| SZEKELY, GIGI KLARA | CHIEF COMPLIANCE OFFICER - BD DIVISION | 2530826 |
Disclosures
| Regulatory Event | 75 |
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.
Company Information
STONEX FINANCIAL INC.
CRD#: 45993Park City, UT 84098TRUST BUT VERIFY
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