Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Anthony Caplan is an investment banking professional licensed to sell securities in New York. William Anthony Caplan is currently registered with Lazard Freres & Co. LLC and holds a Series 79TO, Series 63, and SIE licenses. William Anthony Caplan has been in the securities industry for 2 years and 1 month.
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.
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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NY
08/08/2022 - Present
Lazard Freres & Co. LLC (NEW YORK NY)
BC
Issued 09/09/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/08/2022
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 05/23/2022
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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