Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Howard? Claim Your ProfileHoward Kaplan is an investment advisor representative at USA Financial Securities LLC and has over 30 years of experience in the industry. Kaplan is registered in California, Maryland, New Jersey, New Mexico, and Washington and specializes in helping individual clients with financial planning and portfolio management. Kaplan has also worked for LPL Financial LLC and Commonwealth Financial Network. He holds the Series 6, 7, 22, 24, 63 and 65 licenses.
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.
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.
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2
MI
11/03/2022 - Present
USA Financial Securities LLC (ADA MI)
NJ
07/30/2010 - 02/08/2016
LPL FINANCIAL LLC (ENGLEWOOD NJ)
NJ
10/17/2005 - 08/02/2010
SUMMIT EQUITIES, INC. (ENGLEWOOD NJ)
MA
10/05/2001 - 10/19/2005
COMMONWEALTH FINANCIAL NETWORK (WALTHAM MA)
AZ
01/03/2001 - 10/09/2001
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
IA
05/29/1998 - 01/03/2001
CAMBRIDGE INVESTMENT RESEARCH, INC. (FAIRFIELD IA)
CT
09/12/1996 - 05/07/1998
WASHINGTON SQUARE SECURITIES, INC. (WINDSOR CT)
AZ
01/17/1996 - 09/11/1996
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
CT
08/15/1995 - 01/01/1996
WASHINGTON SQUARE SECURITIES, INC. (WINDSOR CT)
IN
07/31/1995 - 08/18/1995
CHUBB SECURITIES CORPORATION (FORT WAYNE IN)
NY
03/23/1994 - 12/19/1994
HAMPSHIRE SECURITIES CORPORATION (NEW YORK NY)
NY
09/16/1991 - 03/19/1993
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
PA
03/22/1990 - 09/27/1990
CIGNA SECURITIES, INC. (RADNOR PA)
IA
Issued 03/30/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/21/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/11/2001
Series 24 - General Securities Principal Examination
BC
Issued 02/08/2016
SIE - Securities Industry Essentials Examination
BC
Issued 09/13/1991
Series 7 - General Securities Representative Examination
BC
Issued 04/23/1990
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 03/21/1990
Series 22 - Direct Participation Programs Representative Examination
Active
Inactive
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