Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Albert? Claim Your ProfileAlbert Herman Kaplan is an active financial advisor registered with the state of Kentucky and holds a Series 7, Series 8, and Series 63 license. Albert has been in the industry since 1990 and has worked with LPL Financial LLC since 2019. Prior to that, Albert was registered with Triad Advisors LLC, A.G. Edwards & Sons, Inc., Prudential Securities Incorporated, and Edward D. Jones & Co., L.P.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
KY
09/27/2019 - Present
LPL Financial LLC (LEXINGTON KY)
KY
07/31/2000 - 09/30/2019
TRIAD ADVISORS LLC (Richmond KY)
MO
01/16/1997 - 08/07/2000
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NY
06/29/1995 - 01/28/1997
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
MO
12/11/1990 - 06/30/1995
EDWARD D. JONES & CO., L.P. (ST. LOUIS MO)
BC
Issued 12/14/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/25/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/10/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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