Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Henry? Claim Your ProfileHenry E. Kaplan is a financial advisor who has been working in the financial services industry since 1987. Henry has been a Registered Representative with B. Riley Wealth Advisors, Inc. since 2022 and has been with the firm for more than a year. He is registered in New Jersey and New York and offers financial planning, portfolio management, and pension consulting.
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.
A percentage of the total value of assets under management is charged.
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2
NJ
06/23/2021 - Present
B. Riley Wealth Advisors, Inc. (RED BANK NJ)
NY
07/19/2018 - 07/22/2022
NATIONAL SECURITIES CORPORATION (NEW YORK NY)
NY
10/04/2013 - 06/29/2017
MORGAN STANLEY DISTRIBUTION, INC. (NEW YORK NY)
NY
06/01/2009 - 10/24/2013
MORGAN STANLEY (PURCHASE NY)
NY
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PURCHASE NY)
NY
06/23/1987 - 04/02/2007
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 08/17/2010
Series 66 - Uniform Combined State Law Examination
IA
Issued 03/21/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/16/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/19/1997
Series 24 - General Securities Principal Examination
BC
Issued 02/24/1995
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/30/2010
Series 3 - National Commodity Futures Examination
BC
Issued 06/20/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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