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KATHERINE CAPLINGER
Katherine Blaine Caplinger, Katherine Caplinger, Katie Caplinger
CRD#: 6484628
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 AUSTIN, TX
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 11501 ALTERRA PKWY
STE 115 & 550
AUSTIN, TX 78758
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2024 - Present (<1 year)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2022 - 2024 (1 year)BAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)2019 - 2022 (3 years)BMFS FUND DISTRIBUTORS, INC. (CRD# 31052)2015 - 2019 (3 years)IAAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)2021 - 2022 (1 year)
License(s)

State Registrations

B
Arizona 9/17/2024

B
North Carolina 9/17/2024

B
Florida 1/8/2025

B
Texas 9/3/2024

B
Maryland 9/17/2024

IA
Texas 9/10/2024

SRO Registrations

B
FINRA

B
New York Stock Exchange

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Learn about permitted activities of registered representatives

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
AUSTIN, TX
Registered with this firm since 9/10/2024

B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
11501 ALTERRA PKWY STE 115 & 550, AUSTIN, TX 78758
AUSTIN, TX
Registered with this firm since 9/3/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
B
11/29/2022 - 08/30/2024 CHARLES SCHWAB & CO., INC. (CRD#:5393) Austin, TX
IA
09/30/2021 - 11/29/2022 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) Austin, TX
B
09/04/2019 - 11/29/2022 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) MINNEAPOLIS, MN
B
10/12/2015 - 09/04/2019 MFS FUND DISTRIBUTORS, INC. (CRD#:31052) BOSTON, MA
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.