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 a financial advisor with over 30 years of experience in the industry. He has worked for several firms, including Stifel, Nicolaus & Company, Incorporated, McDonald Investments Inc., and Fifth Third Securities, Inc. Howard is currently registered with Raymond James Financial Services Advisors, Inc., and holds Series 7, Series 63, and Series 66 licenses. He specializes in working with individuals, corporations, and institutions. Howard provides financial planning, portfolio management, pension consulting, and educational seminars. He is dedicated to helping clients achieve their financial goals.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
OH
10/07/2022 - Present
Raymond James Financial Services Advisors, Inc. (Cincinnati OH)
OH
11/18/2005 - 10/13/2022
STIFEL, NICOLAUS & COMPANY, INCORPORATED (BLUE ASH OH)
OH
06/03/1999 - 12/02/2005
MCDONALD INVESTMENTS INC. (CLEVELAND OH)
OH
03/14/1991 - 08/24/1995
FIFTH THIRD SECURITIES, INC. (CINCINNATI OH)
NA
06/21/1988 - 10/19/1989
MERIT FINANCIAL CORPORATION
BOTH
Issued 06/15/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/11/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/02/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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