Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Patricia? Claim Your ProfilePatricia Kaplan is a registered representative with J.P. Morgan Securities LLC. She has been in the industry since 1991. Patricia is licensed to provide investment advice in multiple states. She specializes in financial planning and portfolio management for individuals and businesses. Patricia is also qualified to provide pension consulting services. She is committed to helping her clients achieve their financial goals.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
CO
10/26/2023 - Present
J.p. Morgan Securities LLC (DENVER CO)
CO
06/29/2015 - 10/03/2016
FIRST FINANCIAL EQUITY CORPORATION (GREENWOOD VILLAGE CO)
CO
10/25/2005 - 06/30/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (GREENWOOD VILLAGE CO)
NY
09/13/1990 - 06/07/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
02/01/1989 - 04/19/1989
BROADWAY FINANCIAL INVESTMENT SERVICES CORP.
NA
12/26/1986 - 02/01/1989
GLICKENHAUS & CO. - NEW JERSEY
NA
01/14/1985 - 12/26/1986
LISS TENNER & GOLDBERG SECURITIES CORPORATION
BOTH
Issued 09/20/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/08/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/08/1987
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/24/2005
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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