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John Alan Caplan

Newedge Advisors

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About John Alan Caplan

John Alan Caplan is an investment advisor representative with Newedge Advisors. John has been in the financial services industry since 1999. John has registrations with the state of Connecticut and is also registered as an Investment Advisor Representative with FINRA.

Firm Information

John Caplan is currently registered with Newedge Advisors. Newedge Advisors is an investment advisor with over $10 billion in assets under management. They provide a wide range of financial planning and advisory services to individuals, businesses, charitable organizations, pension plans, and high-net-worth individuals. The firm has over 396 investment advisor representatives and 194 registered representatives located throughout the United States. Newedge Advisors also offers wrap fee programs.
Newedge Advisors

858 CAMP STREET

NEW ORLEANS, LA 70130

$18.43B

Assets Under Management

141

Total Clients

420

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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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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John Caplan’s Registration & Firm History

LA

04/05/2022 - Present

Newedge Advisors (NEW ORLEANS LA)

CT

08/08/2007 - 03/03/2022

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (HAMDEN CT)

CT

04/04/2005 - 06/14/2007

PEOPLE'S SECURITIES, INC. (BRANFORD CT)

RI

03/14/2001 - 04/05/2005

CCO INVESTMENT SERVICES CORP. (JOHNSTON RI)

MN

04/20/1999 - 02/26/2001

AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)

MN

04/20/1999 - 02/26/2001

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

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Licenses & Designations

BOTH

Issued 05/25/1999

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/11/2005

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/19/1999

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 John Alan Caplan.
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