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Harold M Kaplan

Curvature Securities LLC

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About Harold M Kaplan

Harold M. Kaplan is a financial professional with over 30 years of experience in the securities industry. Harold has held previous positions with firms such as Merrill Lynch, Pierce, Fenner & Smith Incorporated, Equico Securities, Inc., The Equitable Life Assurance Society of the United States, Georgeson Securities Corporation, and Computershare Securities Corporation. Harold currently holds a Series 6, Series 27, Series 63, Series 99TO and a SIE license. Harold is a registered representative with Curvature Securities LLC.

Firm Information

Harold Kaplan is currently registered with Curvature Securities LLC. Curvature Securities LLC is a Limited Liability Company formed in 2013. The firm is registered in all 50 states and the District of Columbia, as well as with the Securities and Exchange Commission.

Not reported

Assets Under Management

Not reported

Total Clients

29

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Harold Kaplan’s Registration & Firm History

NJ

08/29/2024 - Present

Curvature Securities LLC (CHATHAM NJ)

NJ

07/17/2008 - 09/20/2013

GEORGESON SECURITIES CORPORATION (JERSEY CITY NJ)

IL

07/30/2008 - 12/31/2010

COMPUTERSHARE SECURITIES CORPORATION (CHICAGO IL)

NY

06/08/2004 - 07/14/2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

07/15/1991 - 05/30/1995

EQUICO SECURITIES, INC. (NEW YORK NY)

NY

07/15/1991 - 05/30/1995

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/04/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/27/2024

Series 27 - Financial and Operations Principal Examination

BC

Issued 08/29/2024

Series 99TO - Operations Professional Examination

BC

Issued 05/10/2022

SIE - Securities Industry Essentials Examination

BC

Issued 07/12/1991

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Harold M Kaplan.
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