Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gregory? Claim Your ProfileGregory Kaplan is an investment advisor representative with Jefferies Investment Advisers LLC. Gregory has been working in the financial industry since 2008 and has held previous roles with CNR Securities, LLC, Ramus Securities, L.L.C., Robertson Stephens, Inc., First Union Securities, Inc., and First Union Capital Markets Corp. Gregory holds Series 63, 65, 53, SIE and 7 licenses and is a Chartered Financial Analyst. Gregory's specializations include securities, mutual funds, variable contracts, and retirement planning.
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.
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.
A percentage of the total value of assets under management is charged.
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2
CA
05/24/2023 - Present
Jefferies Investment Advisers LLC (San Francisco CA)
CA
01/18/2013 - 03/21/2022
CNR SECURITIES, LLC (SAN FRANCISCO CA)
NY
10/16/2003 - 10/08/2004
RAMIUS SECURITIES, L.L.C. (NEW YORK NY)
CA
09/13/2000 - 10/29/2002
ROBERTSON STEPHENS, INC. (SAN FRANCISCO CA)
MO
10/01/1999 - 11/15/1999
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NC
10/23/1997 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
BC
Issued 04/05/2013
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 11/07/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/20/2001
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/17/2013
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA 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
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