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Amy S Kaplan

J.p. Morgan Prime Inc.

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About Amy S Kaplan

Amy Kaplan is a financial professional with over 15 years of experience in the industry. Amy is currently registered with J.p. Morgan Prime Inc. and J.p. Morgan Securities LLC. Amy holds Series 4, 7, 24, 63, 99TO and SIE licenses. Amy specializes in providing investment advice and financial planning services to individuals and families.

Firm Information

Amy Kaplan is currently registered with J.p. Morgan Prime Inc.. J.p. Morgan Prime Inc. is a Corporation formed on October 2, 2015, and is approved to operate in New York.

Not reported

Assets Under Management

Not reported

Total Clients

24

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Amy Kaplan’s Registration & Firm History

NY

06/30/2016 - Present

J.p. Morgan Prime Inc. (NEW YORK NY)

NY

01/27/2015 - 10/01/2016

J.P. MORGAN CLEARING CORP. (BROOKLYN NY)

NY

03/11/2008 - 12/31/2008

J.P. MORGAN CLEARING CORP. (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/05/2015

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/26/2022

Series 4 - Registered Options Principal Examination

BC

Issued 11/04/2013

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/10/2008

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Amy S Kaplan.
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