Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Kaplan is an investment advisor representative, registered in California and Texas. Thomas has been in the financial services industry since March 21, 2019. Thomas is currently employed by Fidelity Personal And Workplace Advisors and has worked previously with E*TRADE Securities LLC and MML Investors Services, LLC. Thomas is licensed to provide financial advice to individuals, businesses, and charitable organizations.
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.
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.
A percentage of the total value of assets under management is charged.
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2
CA
07/02/2024 - Present
Fidelity Personal AND Workplace Advisors (SAN DIEGO CA)
CA
03/27/2023 - 08/17/2023
MORGAN STANLEY (San Diego CA)
CA
11/20/2019 - 08/17/2023
E*TRADE SECURITIES LLC (San Diego CA)
VT
11/30/2018 - 08/12/2019
MML INVESTORS SERVICES, LLC (COLCHESTER VT)
BOTH
Issued 01/25/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/30/2018
Series 7TO - General Securities Representative Examination
BC
Issued 11/14/2018
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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