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Stephen Kaplan

J.p. Morgan Institutional Investments Inc.

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About Stephen Kaplan

Stephen Kaplan is a financial advisor with over 20 years of experience in the industry. Stephen is currently registered with J.p. Morgan Institutional Investments Inc. and has held previous roles with firms such as JPMORGAN DISTRIBUTION SERVICES, INC., CITIGROUP GLOBAL MARKETS INC., RYAN BECK & CO., and NEUBERGER BERMAN MANAGEMENT INC. Stephen holds Series 6, 7, 9, 10, 63, and 65 licenses. Stephen is licensed in 52 states and the District of Columbia.

Firm Information

Stephen Kaplan is currently registered with J.p. Morgan Institutional Investments Inc.. J.P. Morgan Institutional Investments Inc. is a corporation formed on May 26, 1999. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

526

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.

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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Stephen Kaplan’s Registration & Firm History

NY

01/03/2011 - Present

J.p. Morgan Institutional Investments Inc. (New York NY)

NY

09/19/2007 - 01/03/2011

JPMORGAN DISTRIBUTION SERVICES, INC. (NEW YORK NY)

NY

03/29/2007 - 08/09/2007

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

05/02/2005 - 03/16/2007

RYAN BECK & CO. (NEW YORK NY)

NY

11/30/1999 - 02/23/2004

NEUBERGER BERMAN MANAGEMENT INC. (NEW YORK NY)

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Licenses & Designations

IA

Issued 03/09/2000

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/18/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/12/2001

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 11/15/2000

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/23/2000

Series 7 - General Securities Representative Examination

BC

Issued 11/26/1999

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Stephen Kaplan.
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