HK
Harley L. Kaplan
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Plymouth, MA
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CRD#: 1195219
HK
Professional summary
Harley Lance Kaplan, CFP®, who also goes by Harley L Kaplan, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Plymouth, Massachusetts and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Plymouth, Massachusetts.
Harley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Harley has worked at 7 firms and has passed the Series 63, SIE, Series 62, Series 6 and Series 22 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Harley L Kaplan
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
BETA INDUSTRIES INC. / 17 Whitney Lane, Plymouth MA 02360, United States / 01/1989 / Owner, DBA / INV REL / 160 RH/MO, 160 HR/MO Trading LIFE / MED HEALTH INSURANCE SALES, 17 Whitney Lane, Plymouth MA 02360, United States / 01/1983 / Agent, 1099 Contractor / INV REL / 10 HR/MO, 10 HR/MO Trading CIRA / 1776 Pleasant Plain Rd, Fairfield IA 52556 / 11/2022 / IAR AFFILIATION / INV REL / 160 HR/MO 120 HR TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Harley Lance Kaplan's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1987
Experience
Current
December 13, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Plymouth, MA
Current
December 9, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Plymouth, MA
Past
December 13, 2022 - June 1, 2023
CANTELLA & CO., INC.
RIA
CRD#: 13905
Plymouth, MA
Past
March 9, 2007 - December 12, 2022
CANTELLA & CO., INC.
RIA
CRD#: 13905
Plymouth, MA
Past
December 12, 2006 - December 9, 2022
CANTELLA & CO., INC.
BD
CRD#: 13905
Plymouth, MA
Past
November 29, 2006 - December 8, 2006
BRECEK & YOUNG ADVISORS, INC.
BD
CRD#: 40395
SHERBORN, MA
Past
April 14, 1994 - October 13, 2006
COMPASS CAPITAL CORPORATION
RIA
CRD#: 112323
SHERBORN, MA
Past
February 8, 1989 - October 13, 2006
COMPASS SECURITIES CORPORATION
BD
CRD#: 16168
SHERBORN, MA
Past
October 12, 1983 - February 21, 1989
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(12/9/2022)
RR
Florida(12/9/2022)
IAR
Florida(10/29/2024)
RR
Georgia(12/9/2022)
RR
Maine(12/9/2022)
RR
Maryland(12/14/2022)
RR
Massachusetts(12/12/2022)
IAR
Massachusetts(12/13/2022)
RR
New Hampshire(12/9/2022)
RR
New York(12/9/2022)
RR
Ohio(12/9/2022)
RR
Pennsylvania(4/30/2025)
RR
Rhode Island(8/28/2023)
RR
South Carolina(12/9/2022)
IAR
Texas(4/6/2023)
RR
Texas(4/10/2023)
RR
Virginia(12/9/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 10/24/1990
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
