Richard S. Kaplan

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CRD#: 1253766

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Richard Samuel Kaplan, who also goes by Rich Kaplan, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 7 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rich 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.

GENEVA INVESTMENT MANAGEMENT OF CHICAGO, LLC, INVESTMENT RELATED BUSINESS, 181 WEST MADISON STREET, 35TH FLOOR, CHICAGO, IL, 60602, GENEVA IS AN INVESTMENT ADVISER OFFERING DISCRETIONARY INVESTMENT MANAGEMENT, INVESTMENT ADVISER REPRESENTATIVE, SINCE JANUARY 2003, I DEVOTE APPROXIMATELY 40 HOURS A WEEK DURING TRADING HOURS, I ASSIST CLIENTS IN MANAGING THEIR INVESTMENTS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 20, 2017 - October 23, 2025

CIBC PRIVATE WEALTH ADVISORS, INC.

RIA

CRD#: 109644

Chicago, IL

Past

October 31, 2017 - October 23, 2025

CIBC WORLD MARKETS CORP.

CRD#: 630

Chicago, IL

Past

May 14, 2009 - October 31, 2017

GNV ADVISORS, LLC

CRD#: 147286

Chicago, IL

Past

January 4, 2005 - December 31, 2008

UHLMANN PRICE SECURITIES, LLC

CRD#: 42854

CHICAGO, IL

Past

May 28, 2003 - September 1, 2017

GENEVA ADVISORS, LLC

RIA

CRD#: 121629

CHICAGO, IL

Past

April 11, 1988 - January 21, 2003

WILLIAM BLAIR

CRD#: 1252

CHICAGO, IL

Past

April 18, 1984 - April 19, 1988

RODMAN & RENSHAW INC.

CRD#: 724

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".

CIBC PRIVATE WEALTH ADVISORS, INC.

CRD#: 109644 / SEC#: 801-57986

RIA

Registered Investment Advisory firm - (10/27/2000 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/16/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/8/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/14/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/24/1994

General Securities Principal Examination

Current Firm

CIBC PRIVATE WEALTH ADVISORS, INC.

CRD#: 109644 / SEC#: 801-57986

RIA

Registered Investment Advisory firm - (10/27/2000 Approved)

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Contact information

Main Address

181 West Madison Street 36th Floor, Chicago, IL 60602

Mailing Address

Phone number

(312) 368-7700

Established

Firm type

Fiscal year end

# of Employees

570

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CIBC PRIVATE WEALTH ADVISORS INC BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	28,865
AUM (Assets Under Management)	$ 61,112,966,756

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/24/2025	Cover Page	Report
04/30/2025	Cover Page	Report
10/20/2023	Cover Page	Report
04/26/2023	Cover Page	Report

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.

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Firm Stability Insights

Richard S. Kaplan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CIBC WORLD MARKETS CORP.

GNV ADVISORS, LLC

UHLMANN PRICE SECURITIES, LLC

GENEVA ADVISORS, LLC

WILLIAM BLAIR

RODMAN & RENSHAW INC.

Primary Firm SEC Registration

CIBC PRIVATE WEALTH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/16/1998

Series 63

Date: 6/8/1984

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/14/1984

Series 24

Date: 1/24/1994

Current Firm

CIBC PRIVATE WEALTH ADVISORS, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CIBC PRIVATE WEALTH ADVISORS, INC.

TRUST BUT VERIFY

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