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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian C. Kaplan is a financial advisor at Raymond James & Associates, Inc. Brian has been in the financial industry since 1995. Brian's office is located in Greenwich, Connecticut. Brian holds licenses to practice in Arizona, California, Colorado, Connecticut, Florida, Maryland, Massachusetts, Minnesota, Montana, New Hampshire, New York, Pennsylvania, South Carolina, Texas, Vermont, and Washington. Brian is a registered Investment Advisor Representative in Connecticut. Brian has several certifications and licenses, including Series 31, Series 63, Series 65, and Series 7. Brian also holds a Uniform Investment Adviser Law Examination certificate and a Uniform Securities Agent State Law Examination certificate.
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.
Please see note in schedule d - miscellaneous
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.
1
2
CT
09/06/2016 - Present
Raymond James & Associates, Inc. (Greenwich CT)
CT
02/20/2007 - 09/06/2016
DEUTSCHE BANK SECURITIES INC. (GREENWICH CT)
CT
11/22/1995 - 03/01/2007
CITIGROUP GLOBAL MARKETS INC. (STAMFORD CT)
IA
Issued 12/21/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/29/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/19/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 11/21/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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