Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Seth? Claim Your ProfileSeth Levin Kaplan is a financial advisor with over 25 years of experience in the industry. Seth has a wide range of experience working with clients in various capacities, including high-net-worth individuals, corporations, and institutions. Seth is registered with the state of California as a broker-dealer and investment advisor representative. Seth currently works with Robert W. Baird & Co. Inc. Prior to joining Robert W. Baird & Co. Inc., Seth was with Wachovia Securities, LLC and Wells Fargo Investments, LLC. Seth holds several professional licenses including the Series 7, Series 63, Series 9 and Series 10. Seth currently serves as landlord of his rental property, and has a long history of community involvement.
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.
Strategic management for diversified investment portfolios.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
CA
01/11/2018 - Present
Robert W. Baird & Co. Inc. (SACRAMENTO CA)
CA
04/17/2003 - 11/03/2008
WACHOVIA SECURITIES, LLC (SACRAMENTO CA)
CA
05/02/2001 - 04/28/2003
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
CA
07/17/2000 - 05/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
MO
10/28/1997 - 08/16/2000
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
IA
Issued 11/17/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/30/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/20/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/18/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/27/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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