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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Seth? Claim Your ProfileSeth Bradley Kaplan is a registered investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Seth has been in the securities industry since September 23, 1985. He is licensed to provide investment advice in Arizona, Arkansas, California, Colorado, Connecticut, District of Columbia, Florida, Hawaii, Illinois, Maryland, Massachusetts, Nebraska, New Jersey, New Mexico, New York, North Carolina, Ohio, Pennsylvania, Texas, and Virginia. Seth is a licensed investment advisor representative in New York and Texas. Seth's firm offers a range of investment services, including portfolio management for individuals and businesses, pension consulting, and educational seminars. Seth's investment experience includes working with a wide range of clients, including individuals, businesses, and institutions.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
06/11/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (GREAT NECK NY)
IA
Issued 06/27/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/08/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/21/1985
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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