Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Peter? Claim Your ProfilePeter Caplan is an investment advisor representative with Commonwealth Financial Network. Peter has been in the industry since 1988 and has been registered with Commonwealth Financial Network since 1999. Peter holds a Series 63, Series 6, Series 7 and SIE securities license and also has a Uniform Investment Adviser Law Examination license. Peter specializes in providing financial planning and investment advisory services to individuals, families, and businesses. Peter is also a Certified Financial Planner.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MA
10/19/1999 - Present
Commonwealth Financial Network (Foxboro MA)
CA
05/14/1994 - 01/07/1999
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
ME
02/28/1994 - 05/06/1994
440 FINANCIAL DISTRIBUTORS, INC. (PORTLAND ME)
MA
07/28/1992 - 03/04/1994
ALLMERICA INVESTMENTS, INC. (WORCESTER MA)
MA
11/29/1989 - 07/31/1992
COMMONWEALTH EQUITY SERVICES, INC. (WALTHAM MA)
NA
10/15/1987 - 05/01/1989
FIDELITY BROKERAGE SERVICES, INC.
NA
12/03/1986 - 02/03/1987
FIDELITY DISTRIBUTORS CORPORATION
IA
Issued 09/28/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/16/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/25/1987
Series 7 - General Securities Representative Examination
BC
Issued 12/02/1986
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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