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Eric Franklin Caplinger

Cetera Investment Advisers LLC

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About Eric Franklin Caplinger

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.

Firm Information

Eric Caplinger is currently registered with Cetera Investment Advisers LLC. Cetera Investment Advisers LLC is a large financial advisory firm with over 6,600 registered representatives and investment advisor representatives. Headquartered in Schaumburg, Illinois, Cetera provides a wide range of financial services, including financial planning, portfolio management, and pension consulting. The firm manages over $104 billion in assets and serves a diverse client base, including individuals, businesses, charitable organizations, and pension plans.
Cetera Investment Advisers LLC

1485 E VENICE AVE

VENICE, FL 34292

$104.47B

Assets Under Management

16,618

Total Clients

7,280

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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fixed fees

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

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percentage of assets

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

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Eric Caplinger’s Registration & Firm History

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.

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Licenses & Designations

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

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Eric Franklin Caplinger.
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