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Andrew Bogen Caplan

Stonex Financial Inc.

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About Andrew Bogen Caplan

Andrew Caplan is a financial professional with over 20 years of experience in the industry. He currently holds a Series 7, Series 24, Series 55, Series 3, and Series 57TO license. Andrew is registered with Stonex Financial Inc. and Stonex Outsourced Services LLC, and is licensed to provide financial services in 53 states. Andrew has a strong background in investment banking and wealth management, and is committed to providing his clients with personalized financial advice.

Firm Information

Andrew Caplan is currently registered with Stonex Financial Inc.. Stonex Financial Inc. is a Corporation that was formed on May 29, 1998 and is registered in 53 states and the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

374

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Andrew Caplan’s Registration & Firm History

UT

03/10/2021 - Present

Stonex Financial Inc. (Park City UT)

NC

06/07/2013 - 08/07/2015

ELEVATION, LLC (CHARLOTTE NC)

NY

07/26/2011 - 10/11/2012

BARCLAYS CAPITAL INC. (NEW YORK NY)

NY

10/01/2008 - 05/06/2011

J.P. MORGAN SECURITIES LLC (NEW YORK NY)

NY

07/11/2007 - 10/01/2008

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

NY

01/09/2007 - 02/27/2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

09/23/2003 - 04/12/2005

LEHMAN BROTHERS INC. (NEW YORK NY)

NY

08/21/2000 - 08/25/2003

MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/21/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/30/2015

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 09/23/2019

Series 3 - National Commodity Futures Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/20/2015

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 08/18/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Andrew Bogen Caplan.
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