Unclaimed
Eric Caplinger is a financial advisor with over 30 years of experience in the financial services industry. Eric has been a registered representative since 1987 and has held numerous licenses throughout their career. Currently, Eric is an active registered representative with Cetera Investment Advisers LLC, a registered investment advisor. Eric has previously worked with Eaton Vance Distributors, Inc., Quick & Reilly, Inc., PaineWebber Incorporated, and Thomas James Associates, Inc.. Eric holds Series 63, 65, 66, 7, and SIE licenses. Eric is also the CEO of CAP-SNACKS LLC, a company that specializes in high-end vending machines. Eric specializes in providing financial advice to a variety of clients, including individuals, businesses, corporations, insurance companies, and pension plans.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
FL
10/17/2024 - Present
Cetera Investment Advisers LLC (VENICE FL)
FL
04/07/1999 - 09/21/2023
EATON VANCE DISTRIBUTORS, INC. (ST. PETERSBURG FL)
NY
04/13/1992 - 01/11/1999
QUICK & REILLY, INC. (NEW YORK NY)
NJ
05/20/1988 - 02/13/1992
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
11/25/1987 - 03/17/1988
THOMAS JAMES ASSOCIATES, INC.
BOTH
Issued 5/2/2024
Series 66 - Uniform Combined State Law Examination
IA
Issued 8/5/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 5/25/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/21/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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