Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Olivia? Claim Your ProfileOlivia Kaplan is a financial advisor at Robert W. Baird & Co. Inc., a firm with $1 billion to $10 billion in assets under management. Olivia has been in the financial services industry since 2014 and has experience working with individuals, businesses, and institutions. Olivia is registered to provide investment advice in California and Texas. She is also a Series 66, Series 7, Series 9, and Series 10 licensed advisor.
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.
Strategic management for diversified investment portfolios.
See schedule d
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.
Hard dollar payments for research
1
2
CA
11/29/2016 - Present
Robert W. Baird & Co. Inc. (SACRAMENTO CA)
CA
03/12/2015 - 05/04/2016
FIDELITY BROKERAGE SERVICES LLC (ROSEVILLE CA)
CA
08/05/2014 - 03/09/2015
MORGAN STANLEY (ROSEVILLE CA)
BOTH
Issued 12/01/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/19/2015
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/27/2015
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/05/2014
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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