Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Kaplan is a financial advisor with over 15 years of experience in the industry. Brian has been with MML Investors Services, LLC since 2009 and previously worked with Northwestern Mutual Investment Services, LLC, Andrew Garrett Inc. and Ladenburg, Thalmann & Co., Inc. Brian holds Series 6, 7, 63 and 66 licenses and provides a range of financial services including financial planning, asset allocation programs, portfolio management for individuals and businesses, and educational seminars. Brian Kaplan is registered with the state of New York and has a focus on serving high net worth individuals, corporations, pension and profit-sharing plans, and charitable organizations.
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.
Asset allocation programs
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.
A percentage of the total value of assets under management is charged.
Solicitors fees
1
2
NY
09/19/2022 - Present
MML Investors Services, LLC (NEW YORK NY)
NY
08/24/2009 - 10/26/2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (NEW YORK NY)
NY
02/07/2005 - 05/24/2005
ANDREW GARRETT INC. (NEW YORK NY)
NY
08/09/2004 - 03/04/2005
JOSEPH STEVENS & COMPANY, INC. (BROOKLYN NY)
NY
10/03/2003 - 08/18/2004
LADENBURG, THALMANN & CO., INC. (NEW YORK NY)
BC
Issued 08/28/2009
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 12/02/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/01/2021
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/21/2009
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/02/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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