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Scott L Kaplan

Park Avenue Securities LLC

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About Scott L Kaplan

Scott L. Kaplan is an investment advisor representative at Park Avenue Securities LLC, a registered investment adviser. Scott L. Kaplan has been in the securities industry since May 12, 2002, and has been registered with Park Avenue Securities LLC since June 2010. Scott L. Kaplan is licensed in 33 states and holds a Series 6, Series 7, Series 63, Series 65 and SIE license. Scott L. Kaplan provides financial planning, portfolio management for individuals and educational seminars to clients.

Firm Information

Scott Kaplan is currently registered with Park Avenue Securities LLC. Park Avenue Securities LLC is a Limited Liability Company registered in the state of New York and has been operating since August 20, 1998. They provide financial planning and portfolio management services to individuals, high net worth individuals, corporations, pension and profit-sharing plans, charitable organizations, and captive insurance clients. The firm has a nationwide reach with registered offices in 53 states and the District of Columbia.
Park Avenue Securities LLC

10 HUDSON YARDS

NEW YORK, NY 10001

$11.88B

Assets Under Management

38,141

Total Clients

2,244

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Scott Kaplan’s Registration & Firm History

NY

09/25/2007 - Present

Park Avenue Securities LLC (RYE BROOK NY)

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Licenses & Designations

IA

Issued 04/18/2005

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/13/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/21/2005

Series 7 - General Securities Representative Examination

BC

Issued 05/10/2002

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Scott L Kaplan.
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