Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Kaplan is a financial advisor with over 15 years of experience in the industry. He currently works at Metropolitan Capital Investment Banc, Inc., a firm located in Chicago, IL. Richard holds licenses in 14 states and has passed the Series 63, Series 22, and SIE exams. Previously Richard was a financial advisor at NORTH STAR INVESTMENT SERVICES, INC., also located in Chicago.
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.
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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2
IL
10/27/2014 - Present
Metropolitan Capital Investment Banc, Inc. (Chicago IL)
IL
01/26/2007 - 11/13/2009
NORTH STAR INVESTMENT SERVICES, INC. (CHICAGO IL)
BC
Issued 03/05/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/27/2014
Series 22 - Direct Participation Programs Representative Examination
Active
Inactive
F
FINRA
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