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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Eric? Claim Your ProfileEric Kaplan is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. in Wellesley Hills, MA. Eric has been in the industry since 1997 and is registered to provide investment advice in 34 states. Eric has passed the Uniform Securities Agent State Law Examination, the Uniform Investment Adviser Law Examination, the General Securities Representative Examination, and the Securities Industry Essentials Examination. Eric has previous experience with BANC of America Investment Services, INC., QUICK & REILLY, INC., SPENCER CLARKE LLC, and PRUDENTIAL SECURITIES INCORPORATED. Eric is a member of Temple Beth Avodah's Finance Committee.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
MA
11/05/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WELLESLEY HILLS MA)
MA
10/20/2004 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NY
03/13/2002 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
FL
01/14/2000 - 03/05/2002
SPENCER CLARKE LLC (MIAMI BEACH FL)
NY
10/17/1997 - 01/14/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 11/20/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/23/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/24/2001
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/15/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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