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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sarah? Claim Your ProfileSarah Kaplan is a financial advisor with Avantax Advisory Services. Sarah has been in the financial services industry since 2002 and is registered in 23 states. Sarah has a broad range of experience in helping individuals and families reach their financial goals. Sarah also has experience working with businesses, providing financial planning and investment management services. Sarah holds the Series 7, 31, and 66 securities licenses, as well as the SIE exam. Sarah is also a registered Investment Advisor Representative in Nevada.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Solicitor referral services to third-party investment managers; participant enrollment meetings
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.
Solicitor fees
1
2
NV
10/25/2019 - Present
Avantax Advisory Services (CARSON CITY NV)
NV
07/11/2002 - 10/25/2019
1ST GLOBAL CAPITAL CORP. (CARSON CITY NV)
NY
12/05/2001 - 06/07/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 11/09/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/13/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 12/04/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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