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Sean Justin Caplen

Kestra Advisory Services, LLC

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About Sean Justin Caplen

Sean Caplen is a financial advisor with Kestra Advisory Services, LLC and Kestra Investment Services LLC. Sean is a Registered Investment Advisor Representative (IAR) and has been in the financial industry since 2011. Sean provides financial planning services to individuals, corporations, and retirement plans. Sean is registered with the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA).

Firm Information

Sean Caplen is currently registered with Kestra Advisory Services, LLC. Kestra Advisory Services, LLC is a financial advisory firm based in Austin, TX, with over 1,200 investment advisor representatives and 48.3 billion in assets under management. Kestra offers a variety of financial advisory services including financial planning, portfolio management, and pension consulting. The firm serves a broad range of clients, including individuals, corporations, insurance companies, pension plans, and charitable organizations. Kestra participates in wrap fee programs.
Kestra Advisory Services, LLC

5707 SOUTHWEST PARKWAY

AUSTIN, TX 78735

$48.32B

Assets Under Management

6,180

Total Clients

1,197

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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Sean Caplen’s Registration & Firm History

TX

10/01/2024 - Present

Kestra Advisory Services, LLC (AUSTIN TX)

FL

10/25/2018 - 07/22/2022

NATIONAL SECURITIES CORPORATION (BOCA RATON FL)

FL

04/11/2011 - 11/09/2018

RAYMOND JAMES & ASSOCIATES, INC. (BOCA RATON FL)

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Licenses & Designations

BOTH

Issued 05/05/2011

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/08/2011

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Sean Justin Caplen. Review regulatory record here.
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