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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Herbert? Claim Your ProfileHerbert Kaplan is an investment advisor representative with Cetera Investment Advisers LLC, located in MONARCH BEACH, CA. Herbert has been in the financial services industry since 1984. Herbert Kaplan holds the Series 6, Series 7, Series 22, Series 63 and Series 65 licenses. Herbert Kaplan has experience with First Investors Corporation. Herbert Kaplan is registered to provide investment advisory services in Arizona, California, Virginia and Washington. Herbert Kaplan is also registered to provide securities services in Arizona, California, Virginia and Washington. Herbert Kaplan has a specialization in financial planning. Herbert Kaplan also provides financial planning, pension consulting, educational seminars, selection of other advisors and portfolio management for businesses and individuals. Herbert Kaplan also provides fixed insurance - life and annuities.
MONARCH BEACH, CA
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.
1
2
CA
06/29/2023 - Present
Cetera Investment Advisers LLC (MONARCH BEACH CA)
NA
11/28/1984 - 07/16/1988
FIRST INVESTORS CORPORATION
IA
Issued 2/24/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 9/12/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 8/15/1987
Series 7 - General Securities Representative Examination
BC
Issued 1/22/1986
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 11/26/1984
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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