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 30 years of experience in the industry. Richard currently works for CIBC Private Wealth Advisors, Inc. and is registered with the Securities and Exchange Commission (SEC) as an Investment Advisor Representative (IAR). Prior to joining CIBC Private Wealth Advisors, Inc., Richard was employed by GNV ADVISORS, LLC and UHLMANN PRICE SECURITIES, LLC. Richard is also a registered representative with FINRA and has passed the Series 65, 63, 24, 79TO, SIE, and 7 exams. Richard is registered to provide advisory services in Arizona, California, Colorado, Illinois, Indiana, Kansas, Massachusetts, Michigan, New York, Virginia, and Wisconsin. Richard specializes in providing financial planning, portfolio management, selection of other advisors, and portfolio management for individuals, businesses, and investment companies.
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.
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.
Index provider
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.
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.
1
2
IL
02/14/2023 - Present
Cibc Private Wealth Advisors, Inc. (Chicago IL)
IL
05/14/2009 - 10/31/2017
GNV ADVISORS, LLC (Chicago IL)
IL
01/04/2005 - 12/31/2008
UHLMANN PRICE SECURITIES, LLC (CHICAGO IL)
IL
04/11/1988 - 01/21/2003
WILLIAM BLAIR & COMPANY L.L.C. (CHICAGO IL)
NA
04/18/1984 - 04/19/1988
RODMAN & RENSHAW INC.
IA
Issued 11/16/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/08/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/24/1994
Series 24 - General Securities Principal 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 04/14/1984
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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