Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Kaplan is a financial advisor with Prospera Financial Services, Inc. Michael has been a registered representative since June 1992. Prior to joining Prospera Financial Services, Inc. Michael worked at MORGAN STANLEY SMITH BARNEY, MORGAN STANLEY PRIVATE BANK, NATIONAL ASSOCIATION. Michael offers a variety of financial planning services, including portfolio management for individuals and businesses, pension consulting, selection of other advisors, and financial planning. Michael has a strong background in the financial services industry, having passed the Series 7, Series 31, Series 63, and Series 65 exams. Michael is also a registered investment advisor representative in Texas.
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.
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.
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.
Percentage of assets under review
1
2
TX
03/25/2021 - Present
Prospera Financial Services, Inc. (Houston TX)
TX
06/01/2009 - 04/06/2021
MORGAN STANLEY (HOUSTON TX)
TX
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (HOUSTON TX)
TX
06/22/1992 - 04/02/2007
MORGAN STANLEY DW INC. (HOUSTON TX)
IA
Issued 07/28/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/24/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/02/1998
Series 31 - Futures Managed Funds Examination
BC
Issued 06/18/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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