Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Phillip? Claim Your ProfilePhillip Kaplan is a financial advisor with over 30 years of experience in the financial services industry. Phillip is registered to provide investment advice in California and Texas. Phillip is also a registered representative with J.P. Morgan Securities LLC and has been with the firm since 2012. Phillip provides financial planning, portfolio management and pension consulting services to a wide range of clients, including high-net-worth individuals, corporations and other businesses, charitable organizations, and pension and profit-sharing plans.
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
CA
06/11/2014 - Present
J.p. Morgan Securities LLC (Del Mar CA)
CA
05/02/2009 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (SAN DIEGO CA)
CA
03/12/2001 - 05/02/2009
WAMU INVESTMENTS, INC. (LONG BEACH CA)
TX
03/06/2001 - 04/01/2001
BANK UNITED SECURITIES CORP. (HOUSTON TX)
IA
02/22/1994 - 02/26/2001
CUNA BROKERAGE SERVICES, INC. (WAVERLY IA)
CA
02/01/1994 - 02/04/1994
UB INVESTMENT SERVICES, INC. (GLENDALE CA)
IA
02/03/1993 - 01/12/1994
CUNA BROKERAGE SERVICES, INC. (WAVERLY IA)
MA
08/15/1990 - 01/28/1993
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
08/15/1990 - 01/28/1993
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
IA
Issued 01/25/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/17/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/11/2012
Series 4 - Registered Options Principal Examination
BC
Issued 03/29/2007
Series 53 - Municipal Securities Principal Examination
BC
Issued 06/17/1996
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/20/1996
Series 7 - General Securities Representative Examination
BC
Issued 08/14/1990
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 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
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
Not sure Phillip Kaplan is the right advisor for you? Invested Better is here to help.
