Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joel? Claim Your ProfileJoel Howard Kaplan is an active investment advisor representative. Joel is registered with &partners, LLC, and holds Series 7, 31, and 63 securities licenses, as well as a Series 65 investment advisor license. Joel began working in the financial services industry on June 2, 1991. Before joining &partners, LLC, Joel worked for WELLS FARGO CLEARING SERVICES, LLC, and PRUDENTIAL SECURITIES INCORPORATED.
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.
Portfolio manager selection, furnish advice not involving securities, research report services, 1042 portfolio construction
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Trans fee, service charges; 12b-1; money market trls; bdsp
1
2
TN
05/16/2024 - Present
&partners (NASHVILLE TN)
NJ
07/01/2003 - 05/22/2024
WELLS FARGO CLEARING SERVICES, LLC (WESTFIELD NJ)
NY
07/22/1996 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
05/29/1991 - 07/16/1996
HALPERT AND COMPANY, INC. (MILLBURN NJ)
IA
Issued 04/22/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/05/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/18/1998
Series 31 - Futures Managed Funds Examination
BC
Issued 05/28/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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