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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen brian? Claim Your ProfileStephen Brian Kaplan is a financial advisor with over 30 years of experience in the industry. Stephen Brian Kaplan currently works for UBS Financial Services Inc. in Melville, New York. Previously, Stephen Brian Kaplan worked for Gilford Securities Incorporated in Melville, New York. Stephen Brian Kaplan specializes in portfolio management for individuals and businesses, financial planning, pension consulting, and educational seminars. Stephen Brian Kaplan has Series 4, 7, 9, 10, 24, 51, 63 and 65 licenses and is registered in 33 states and the District of Columbia.
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.
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.
See schedule d - miscellaneous
1
2
NY
10/18/2019 - Present
UBS Financial Services Inc. (MELVILLE NY)
NY
09/30/1991 - 12/19/2014
GILFORD SECURITIES INCORPORATED (MELVILLE NY)
IA
Issued 08/16/2021
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/17/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/18/2003
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 02/05/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/23/1994
Series 4 - Registered Options Principal Examination
BC
Issued 08/05/1992
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/27/1991
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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