Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Kaplan is a financial professional with over 30 years of experience in the financial services industry. Stephen is currently registered with Allstate Financial Services, LLC in Lincoln, Nebraska. Stephen has also been registered with several other firms including Allstate Distributors, LLC, Princor Financial Services Corporation, New England Securities, Signator Investors, Inc., AmSouth Investment Services, Inc., Pruco Securities, LLC, MONY Securities Corporation, Sunset Financial Services, Inc., Capital Brokerage Corporation, Forth Financial Securities, Corporation, and The Prudential Insurance Company of America. Stephen holds the Series 6, 7, 26, 51, 52, 63, and 65 licenses.
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.
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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2
NE
04/28/2020 - Present
Allstate Financial Services, LLC (Lincoln NE)
IL
03/13/2018 - 04/08/2020
ALLSTATE DISTRIBUTORS, L.L.C. (NORTHBROOK IL)
FL
06/12/2014 - 04/16/2018
ALLSTATE FINANCIAL SERVICES, LLC (Largo FL)
FL
11/05/2013 - 06/09/2014
PRINCOR FINANCIAL SERVICES CORPORATION (TAMPA FL)
FL
10/24/2011 - 09/17/2013
NEW ENGLAND SECURITIES (TAMPA FL)
FL
05/04/2007 - 01/26/2010
SIGNATOR INVESTORS, INC. (TAMPA FL)
FL
01/18/2006 - 02/20/2007
AMSOUTH INVESTMENT SERVICES, INC. (TAMPA FL)
NJ
07/16/2002 - 01/03/2006
PRUCO SECURITIES, LLC. (NEWARK NJ)
NY
08/03/2000 - 07/09/2002
MONY SECURITIES CORPORATION (NEW YORK NY)
MO
12/15/1997 - 06/21/2000
SUNSET FINANCIAL SERVICES, INC. (KANSAS CITY MO)
VA
12/01/1997 - 12/20/1997
CAPITAL BROKERAGE CORPORATION (GLEN ALLEN VA)
VA
06/07/1993 - 12/01/1997
FORTH FINANCIAL SECURITIES, CORPORATION (RICHMOND VA)
NJ
01/23/1989 - 02/25/1993
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
01/23/1989 - 02/25/1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
IA
Issued 11/19/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/20/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/05/2015
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 11/19/2014
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/14/2003
Series 7 - General Securities Representative Examination
BC
Issued 01/20/1989
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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