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Michael Phillip Kaplan

Lazard Asset Management Securities LLC

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About Michael Phillip Kaplan

Michael Phillip Kaplan is a registered representative with Lazard Asset Management Securities LLC. Michael has been in the securities industry since December 19, 1997 and has been a registered representative with Lazard Asset Management Securities LLC since May 24, 2023. Michael has previously worked for HSBC Securities (USA) Inc., ING Financial Markets LLC, Alfa Capital Markets (USA), Inc., Morgan Stanley & Co., Incorporated, Credit Suisse First Boston Corporation, RC Securities, Inc., and Donaldson, Lufkin & Jenrette Securities Corporation. Michael holds Series 7, 24, 31 and 63 securities licenses. Michael is registered in all 50 states and the District of Columbia.

Firm Information

Michael Kaplan is currently registered with Lazard Asset Management Securities LLC. Lazard Asset Management Securities LLC is a Limited Liability Company formed in May 2003. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico.

Not reported

Assets Under Management

Not reported

Total Clients

131

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.

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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Michael Kaplan’s Registration & Firm History

NY

05/24/2023 - Present

Lazard Asset Management Securities LLC (NEW YORK NY)

NY

08/09/2012 - 09/27/2022

HSBC SECURITIES (USA) INC. (NEW YORK NY)

NY

07/05/2005 - 06/21/2012

ING FINANCIAL MARKETS LLC (NEW YORK NY)

NY

05/20/2003 - 06/13/2005

ALFA CAPITAL MARKETS (USA), INC (NEW YORK NY)

NY

06/13/2000 - 05/14/2003

MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)

NY

03/09/2000 - 07/03/2000

CREDIT SUISSE FIRST BOSTON CORPORATION (NEW YORK NY)

NY

05/15/1997 - 03/13/2000

RC SECURITIES, INC. (NEW YORK NY)

NJ

11/21/1994 - 02/21/1995

DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)

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Licenses & Designations

BC

Issued 07/12/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/08/1999

Series 24 - General Securities Principal Examination

BC

Issued 08/10/2023

Series 31 - Futures Managed Funds Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/19/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Michael Phillip Kaplan.
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