Stuart A. Caplan

MEMBERS WEALTH LLC

MEDIA, PA 19063

Some features on this profile are disabled

CRD#: 6619359

Professional summary

Stuart Andrew Caplan, who also goes by Stuart Caplan, is a registered financial advisor currently at MEMBERS WEALTH LLC located in Media, Pennsylvania.

Stuart is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Stuart has worked at 2 firms and has passed the Series 65 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stuart Caplan

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.

Santa Barbara Nutrients, Inc. - Not Investment Related - California NanoSystems Institute - University of California, Mail Code 6105, Santa Barbara, CA. 93106 - Advisory Board Member - 05/2025 - Up to 4 hours per month - 0 hours during security trading - on an ad hoc basis, advice on C-suite compensation, investor presentations, and general industry knowledge.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stuart Andrew Caplan's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 11, 2024 - Present

MEMBERS WEALTH LLC

Office #1: 1 South Olive Steet Suite 1c, Media, PA 19063

RIA

CRD#: 323778

MEDIA, PA

Past

March 4, 2016 - September 16, 2024

APEX FINANCIAL ADVISORS, INC

RIA

CRD#: 155210

YARDLEY, PA

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".

MEMBERS WEALTH LLC

CRD#: 323778 / SEC#: 801-128482

RIA

Registered Investment Advisory firm - (11/6/2023 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.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(9/11/2024)

IAR

Texas
(9/12/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/23/2015

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 3

Date: 4/9/2012

National Commodity Futures Examination

Current Firm

MEMBERS WEALTH LLC

CRD#: 323778 / SEC#: 801-128482

RIA

Registered Investment Advisory firm - (11/6/2023 Approved)

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

1 South Olive Steet Suite 1c, Media, PA 19063

Mailing Address

Phone number

(267) 367-5453

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MEMBERS WEALTH, LLC 2A (4/29/2025)

Regulatory assets under management

Total Number of Accounts	512
AUM (Assets Under Management)	$ 217,289,348

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

Paul Mullen

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

Horsham, PA

Jeffrey Kropp

OSAIC WEALTH, INC.

IAR

Chadds Ford, PA

Dustin Willing

KESTRA ADVISORY SERVICES, LLC

IAR

Wayne, PA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Stuart A. Caplan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stuart Andrew Caplan's CRS (Customer Relationship Summary).

Certified licenses

Experience

MEMBERS WEALTH LLC

APEX FINANCIAL ADVISORS, INC

Primary Firm SEC Registration

MEMBERS WEALTH LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/23/2015

Series 3

Date: 4/9/2012

Current Firm

MEMBERS WEALTH LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MEMBERS WEALTH LLC

TRUST BUT VERIFY

Similar Advisors