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Max B Kaplan

William Blair

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About Max B Kaplan

Max B. Kaplan is a financial advisor based in CHICAGO, IL. Max has been in the financial industry since September 2009. Max is currently registered with William Blair, and has previously been registered with MSI Financial Services, INC., New England Securities and Ameriprise Financial Services, INC.. Max is licensed to sell securities in 35 states. Max's current firm, William Blair, is a registered investment adviser with the Securities and Exchange Commission. William Blair provides a range of financial services to individual and institutional clients, including investment management, financial planning, and equity research.

Firm Information

Max Kaplan is currently registered with William Blair. William Blair is a Limited Liability Company formed in 1995 with its main office in Chicago, Illinois. They have 51 licensed agents, 250 investment adviser representatives, and 399 registered representatives. They provide a variety of advisory services including financial planning, selection of other advisors, and portfolio management for businesses and individuals. They also manage pooled investment vehicles. They have approximately $49.98 billion in regulatory assets under management. Their primary client base includes corporations or other businesses, high-net-worth individuals, and individuals other than high-net-worth. They also serve charitable organizations, pooled investment vehicles, pension and profit-sharing plans, and other investment advisors.
William Blair

150 NORTH RIVERSIDE PLAZA

CHICAGO, IL 60606

$49.98B

Assets Under Management

Not reported

Total Clients

423

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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equity research services

Equity research services

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Max Kaplan’s Registration & Firm History

IL

07/13/2016 - Present

William Blair (CHICAGO IL)

IL

01/02/2015 - 07/15/2016

MSI FINANCIAL SERVICES, INC. (CHICAGO IL)

IL

03/04/2011 - 01/02/2015

NEW ENGLAND SECURITIES (CHICAGO IL)

IL

09/02/2009 - 03/07/2011

AMERIPRISE FINANCIAL SERVICES, INC. (CHICAGO IL)

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Licenses & Designations

BOTH

Issued 12/03/2009

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/01/2009

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Max B Kaplan.
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