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Craig Caplan

TD Private Client Wealth LLC

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About Craig Caplan

Craig Caplan is an investment advisor representative with TD Private Client Wealth LLC. Craig has been working in the financial services industry since February 23, 1996 and has experience working at several firms, including CETERA INVESTMENT SERVICES LLC, VANGUARD MARKETING CORPORATION, and IFMG SECURITIES, INC.. Craig is registered in Pennsylvania to provide investment advisory services.

Firm Information

Craig Caplan is currently registered with TD Private Client Wealth LLC. TD Private Client Wealth LLC, a Limited Liability Company formed in 2012, is an investment advisor with offices in New York, NY. The firm manages approximately $1 billion to $10 billion in assets and provides financial planning, pension consulting, educational seminars, portfolio management for individuals and businesses, and other advisory services. TD Private Client Wealth LLC has been registered with the SEC and is also registered in all 50 states. The firm serves a variety of clients including individuals, high net worth individuals, corporations, pension and profit-sharing plans, and charitable organizations.
TD Private Client Wealth LLC

1 VANDERBILT AVENUE

NEW YORK, NY 10017

$6.45B

Assets Under Management

Not reported

Total Clients

487

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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percentage of assets

A percentage of the total value of assets under management is charged.

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Craig Caplan’s Registration & Firm History

NJ

03/10/2022 - Present

TD Private Client Wealth LLC (Marlton NJ)

PA

01/25/2016 - 09/24/2021

CETERA INVESTMENT SERVICES LLC (MCMURRAY PA)

PA

12/12/2013 - 06/30/2015

VANGUARD MARKETING CORPORATION (MALVERN PA)

PA

11/27/2007 - 08/26/2013

CETERA INVESTMENT SERVICES LLC (KING OF PRUSSIA PA)

NY

04/05/2004 - 11/28/2007

IFMG SECURITIES, INC. (PURCHASE NY)

NJ

12/05/2001 - 04/15/2002

FUTURESHARE FINANCIAL LLC (JERSEY CITY NJ)

IN

07/20/1998 - 12/05/2001

CONSECO SECURITIES, INC. (CARMEL IN)

NA

05/21/1996 - 06/19/1998

INDEPENDENT FINANCIAL SECURITIES, INC.

VA

02/22/1995 - 05/10/1996

CRESTAR SECURITIES CORPORATION (RICHMOND VA)

NA

11/29/1993 - 01/09/1995

INDEPENDENT FINANCIAL SECURITIES, INC.

OR

08/20/1992 - 11/29/1993

MARKETING ONE SECURITIES, INC. (PORTLAND OR)

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Licenses & Designations

IA

Issued 07/21/1997

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/18/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/16/2007

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/21/1995

Series 7 - General Securities Representative Examination

BC

Issued 08/18/1992

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for Craig Caplan. Review regulatory record here.
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