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SC

Scott C. Caplan

IDX MARKETS
NEW YORK, NY 10012
Some features on this profile are disabled
CRD#: 7743668
SC

Professional summary

Scott Charles Caplan is a registered financial professional currently at IDX MARKETS, LLC located in New York, New York.

Scott is registered as a RR (Registered Representative) and started their career in finance in 2023. Scott has worked at 1 firm and has passed the Series 63, Series 99TO, Series 7TO, SIE and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Scott Charles 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®
None

Experience

Current

September 14, 2023 - Present

IDX MARKETS, LLC

Office #1: 47 Great Jones St. 2nd Floor, New York, NY 10012
BD
CRD#: 171357
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
New York
(9/30/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 9/30/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 6/12/2024
Operations Professional Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/14/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/31/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/4/2023
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

IM
IDX MARKETS, LLC
IDX MARKETS, LLC

CRD#: 171357 / SEC#: , 8-69459

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
47 Great Jones St. 2nd Floor, New York, NY 10012
Mailing Address
47 Great Jones St. 2nd Floor, New York, NY 10012
Phone number
(917) 819-0702
Established
Delaware since 01/10/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
IDX II, LLCOWNER
CAMPBELL, ROBERTFINANCIAL AND OPERATIONS PRINCIPAL1349154
FAVARO, VINCENT WILLIAMCHIEF COMPLIANCE OFFICER4163532
YAMAGUCHI, KEIGOPRESIDENT4007639

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

IDX MARKETS, LLC

CRD#: 171357New York, NY 10012

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