Daniel S. Caple
Professional summary
Daniel S. Caple is a registered financial professional currently at VOYA FINANCIAL ADVISORS, INC. located in Charlotte, North Carolina.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 2004. Daniel has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Daniel S. Caple's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 1, 2021 - Present
VOYA FINANCIAL ADVISORS, INC.
May 1, 2014 - December 31, 2020
MML DISTRIBUTORS, LLC
December 7, 2009 - May 1, 2014
MML INVESTORS SERVICES, LLC
November 19, 2004 - November 24, 2009
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/22/2024)
(1/9/2023)
(1/9/2023)
(1/9/2023)
(1/9/2023)
(1/9/2023)
(1/9/2023)
(2/1/2021)
(1/9/2023)
(1/9/2023)
(1/9/2023)
(1/9/2023)
Exams
FINRA
Current Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
