Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Candace? Claim Your ProfileCandace Kaplan is an experienced financial advisor with over 40 years in the industry. She is a Registered Representative and Investment Advisor Representative and holds Series 1, 6, 7, 62, 63, 65, and 22 and 66 licenses. Candace has worked at Commonwealth Financial Network since November 2015. Prior to that, she spent over 10 years with AXA Advisors, LLC and a few years with MONY Securities Corporation. Candace specializes in providing financial planning, portfolio management and educational seminars to individuals, corporations, and charitable organizations. Candace also offers pension consulting services.
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.
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
MD
11/06/2015 - Present
Commonwealth Financial Network (Rockville MD)
MD
06/01/2005 - 11/17/2015
AXA ADVISORS, LLC (BETHESDA MD)
NY
07/28/1980 - 06/01/2005
MONY SECURITIES CORPORATION (NEW YORK NY)
NY
07/28/1980 - 10/15/1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK (NEW YORK NY)
IA
Issued 10/31/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/04/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/10/1999
Series 7 - General Securities Representative Examination
BC
Issued 02/11/1991
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 07/15/1980
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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