Neil Kaplan has been an investment adviser representative at Caitlin John since December 2022, and is not listed among the firm’s executive officers or direct owners.
Caitlin John, LLC is a Brighton, MI firm with $215M under management, 602 clients and 25 advisers across 14 offices, as of its September 2026 filing.
Neil Kaplan’s longest registration was 5 years at Guardian Pointe Private Wealth Management, LLC (2017–2022). Before joining Caitlin John in 2022, Neil Kaplan was registered through Guardian Pointe Private Wealth Management, LLC.
- Simplyria Advisor NetworkCurrent– present · 3 yearsGermantown, MD · Adviser representative · Firm CRD 154494
- Guardian Pointe Private Wealth Management, LLC– · 5 yearsGermantown, MD · Adviser representative · Firm CRD 284460
Investment adviser representative registrations
Neil Kaplan is registered as an investment adviser representative in Maryland, since December 2022.
- MarylandSince 21 December 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 3 February 2017 |
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Neil Alan Kaplan
- CRD
- 6759430
- Firm
- Caitlin John · CRD 154494
- Office
- Germantown, MD
- Registration
- Investment adviser registration
- In the industry since
- May 2017
- Disciplinary history
- Not yet shown here · SEC record
Where does Neil Kaplan work?
Neil Kaplan is an investment adviser representative registered through Caitlin John, LLC since December 2022, and is not listed among the firm’s executive officers or direct owners.
Is Neil Kaplan a financial advisor?
Yes. Neil Kaplan has a current investment-adviser registration in Maryland, through Caitlin John since December 2022.
How many years of experience does Neil Kaplan have?
Neil Kaplan has 9 years in the financial industry, since May 2017, across 2 adviser firms.
What exams has Neil Kaplan passed?
Neil Kaplan passed the Series 65 in February 2017.
Where did Neil Kaplan work before Caitlin John?
Before Caitlin John, Neil Kaplan was registered through Guardian Pointe Private Wealth Management, LLC, May 2017 to December 2022.
Where is Neil Kaplan based?
Neil Kaplan’s registered office is in Germantown, MD.
Is Neil Kaplan registered with FINRA?
No. Neil Kaplan has no current broker registration.
How can I verify Neil Kaplan’s record?
Search CRD 6759430 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Neil Kaplan’s full registration record.