linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

David Allen Caples

LPL Financial LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you David? Claim Your Profile

About David Allen Caples

David Allen Caples is a financial advisor with LPL Financial LLC in OVERLAND PARK, KS. David has been in the industry since May 19, 2000. David holds licenses to provide financial advice in several states. David is registered with the Securities and Exchange Commission (SEC) and is a member of the Financial Industry Regulatory Authority (FINRA). David also holds a Series 63, Series 65, Series 7 and a SIE license.

Firm Information

David Caples is currently registered with LPL Financial LLC. LPL Financial LLC is a Limited Liability Company formed in 2010 and headquartered in Fort Mill, South Carolina. It provides advisory services including financial planning, pension consulting, and portfolio management for individuals and businesses. The firm manages over $463 billion in assets for a variety of clients, including high-net-worth individuals, corporations, pension plans, and charitable organizations. LPL Financial is registered with the SEC and in all 50 states, as well as Puerto Rico and the Virgin Islands.
LPL Financial LLC

1055 LPL WAY

FORT MILL, SC 29715

$463.48B

Assets Under Management

168,915

Total Clients

21,775

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.

check

financial planning services

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

check

pension consulting services

Guidance on pension options to ensure a secure financial future.

check

educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

check

selection of other advisors

Helps you choose top advisors aligned with your financial goals.

check

portfolio management for businesses

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

check

portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

check

consulting and other non-discretionary advisory services

Consulting and other non-discretionary advisory services

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.

check

fixed fees

Set rates for specific services, regardless of time or assets managed.

check

commissions

Earned based on transactions or products sold.

check

percentage of assets

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

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

David Caples’s Registration & Firm History

KS

08/25/2005 - Present

LPL Financial LLC (OVERLAND PARK KS)

MO

05/19/2000 - 02/23/2001

FIRST HEARTLAND CAPITAL, INC. (LAKE ST. LOUIS MO)

Not sure if David Allen Caples is right for you?

Licenses & Designations

IA

Issued 08/24/2005

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/26/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/18/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for David Allen Caples.
Not sure if David Allen Caples is right for you?