Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Harley? Claim Your ProfileHarley Kaplan is a financial advisor with over 40 years of experience in the financial services industry. Harley has a strong track record of helping clients achieve their financial goals. Harley is registered with Cambridge Investment Research Advisors, Inc. and has previously worked with Cantella & Co., Inc., Brecek & Young Advisors, Inc., Compass Securities Corporation and Cigna Securities, Inc. Harley holds Series 6, 62, 63 and SIE licenses. Harley is also a Certified Financial Planner.
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.
Solicitation fees from 3rd party money managers
1
2
MA
04/06/2023 - Present
Cambridge Investment Research Advisors, Inc. (Plymouth MA)
MA
12/12/2006 - 12/09/2022
CANTELLA & CO., INC. (Plymouth MA)
MA
11/29/2006 - 12/08/2006
BRECEK & YOUNG ADVISORS, INC. (SHERBORN MA)
MA
02/08/1989 - 10/13/2006
COMPASS SECURITIES CORPORATION (SHERBORN MA)
NA
10/12/1983 - 02/21/1989
CIGNA SECURITIES, INC.
BC
Issued 10/03/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/24/1990
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 10/04/1983
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/03/1983
Series 22 - Direct Participation Programs Representative Examination
Active
Inactive
F
FINRA
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