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Philip Jay Kaplan

Huron Transaction Advisory LLC

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About Philip Jay Kaplan

Philip Kaplan is a financial advisor who has been working in the industry since 2003. Philip is currently registered with Huron Transaction Advisory LLC, and has also previously worked with H2C Securities Inc., Wells Fargo Securities, LLC, BANC OF AMERICA SECURITIES LLC, Goldman, Sachs & Co., Citigroup Global Markets Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated.

Firm Information

Philip Kaplan is currently registered with Huron Transaction Advisory LLC. Huron Transaction Advisory LLC is a Limited Liability Company formed in 2013. The firm is registered to operate in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. It has an approved SEC registration and provides services across various industries.

Not reported

Assets Under Management

Not reported

Total Clients

12

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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Philip Kaplan’s Registration & Firm History

IL

02/01/2021 - Present

Huron Transaction Advisory LLC (CHICAGO IL)

IL

05/20/2016 - 03/02/2021

H2C SECURITIES INC. (CHICAGO IL)

IL

08/24/2009 - 05/22/2014

WELLS FARGO SECURITIES, LLC (CHICAGO IL)

IL

08/26/2008 - 05/04/2009

BANC OF AMERICA SECURITIES LLC (CHICAGO IL)

NY

02/22/2006 - 07/01/2008

GOLDMAN, SACHS & CO. (NEW YORK NY)

NY

10/14/2002 - 03/04/2006

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NA

09/01/1992 - 06/29/1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

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Licenses & Designations

BC

Issued 06/17/2003

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 02/25/1994

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/29/2021

Series 54 - Municipal Advisor Principal Qualification Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/29/2017

Series 50 - Municipal Advisor Representative Qualification Exam

BC

Issued 10/11/2002

Series 52 - Municipal Securities Representative Examination

BC

Issued 08/31/1992

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Philip Jay Kaplan.
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