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Steve Kaplan

Pershing LLC

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About Steve Kaplan

Steve Kaplan is a financial advisor registered with Pershing LLC and Pershing Advisor Solutions LLC. Steve has over 18 years of experience in the financial services industry. Steve is a Series 7, 24, 52TO, and 63 licensed professional. Steve holds the Series 7 and Series 63 licenses. Steve is a General Securities Representative licensed with the Financial Industry Regulatory Authority (FINRA). Steve previously worked at MetLife Securities Inc., BANC of America Investment Services, Inc., Quick & Reilly, Inc., National Discount Brokers, and Continental Broker-Dealer Corp.

Firm Information

Steve Kaplan is currently registered with Pershing LLC. Pershing LLC is a Limited Liability Company formed in January 2003. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. They have one approved SEC registration and 53 approved state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

692

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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Steve Kaplan’s Registration & Firm History

NJ

11/16/2021 - Present

Pershing LLC (JERSEY CITY NJ)

NJ

03/22/2011 - 04/13/2016

METLIFE SECURITIES INC. (SOMERSET NJ)

MA

10/20/2004 - 06/15/2005

BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)

NY

03/07/2000 - 10/20/2004

QUICK & REILLY, INC. (NEW YORK NY)

NE

11/17/1997 - 02/25/2000

NATIONAL DISCOUNT BROKERS (OMAHA NE)

NY

05/28/1997 - 10/31/1997

CONTINENTAL BROKER-DEALER CORP. (CARLE PLACE NY)

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Licenses & Designations

BC

Issued 05/17/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/17/2012

Series 24 - General Securities Principal Examination

BC

Issued 07/31/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/21/2011

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

MIAX Sapphire

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Steve Kaplan.
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