James Caplis, financial advisor Chicago IL
81 score

James Caplis

CRD Number: 1080886
Current Firm: Feltl Advisors

James Caplis (CRD# 1080886) is an Investment Advisor Representative working at Feltl Advisors in Chicago, IL and has over 33 years of experience in the finance industry.

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Company Name Location Dates Years
Feltl & Company Minneapolis, MN Oct 2011 - Current 5
Fintegra, LLC Minneapolis, MN Jul 2009 - Oct 2011 2
American Express Financial Advisors Inc. Rosemont, IL Jul 2005 - Jul 2009 4
Ids Life Insurance Company Rosemont, IL Jul 2005 - Jul 2009 4
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Dec 1982
S65 NASAA Investment Advisors Law Examination Jun 1992
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for James P. Caplis
Phone Number: 612-492-8800
Registered State(s):
  • IL
By the Numbers
  • Total Assets Under Management
    97
    MILLIONS
  • Total Number of Accounts
    500
    ACCOUNTS
  • Average Account Value
    $193,516
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AZ, CA, FL, IL, IN, MN, WI

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BADGES
81

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