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Michael Scott Caplan

Investment Adviser Representative at INVICTUS PRIVATE WEALTH, LLC

Denver, COCRD #5734939Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
17 yrs
States Registered
17 states
Exams Passed
5

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Michael Scott Caplan has worked in the securities industry since 2009. They are registered to provide investment advisory services in 17 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 17 states
CaliforniaColoradoFloridaIllinoisKentuckyMarylandMassachusettsNew MexicoNew YorkOklahomaPennsylvaniaSouth CarolinaSouth DakotaTennesseeTexasVirginiaWashington
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 1/14/2010
Series 99
Operations Professional Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 31
Futures Managed Funds Examination
Passed 4/8/2010
Series 7
General Securities Representative Examination
Passed 12/22/2009

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Blended rate
0.02
Account minimum: $1,000,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Invictus Private Wealth, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

INVICTUS PRIVATE WEALTH, LLCCurrent
5/19/2022 – Denver, CO
UBS FINANCIAL SERVICES INC.
1/16/2014 – 6/2/2022Denver, CO
MORGAN STANLEY
1/18/2010 – 1/23/2014Denver, CO

Official records & sources

FINRA BrokerCheck record
Official broker registration & regulatory record
SEC IAPD record
SEC investment adviser registration record

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

Other advisors at INVICTUS PRIVATE WEALTH, LLC

1 other advisor in the directory

Sydney Victoria Levy
Investment Adviser Representative
Dual-registered
View INVICTUS PRIVATE WEALTH, LLC firm profile
About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Michael Scott Caplan has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.