Richard L. Kaplan
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 Louis Kaplan was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1987. Richard had worked at 5 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 5, 2012 - September 16, 2024
KEEFER PENSION CONSULTING, INC.
October 26, 1998 - October 17, 2001
IDS LIFE INSURANCE COMPANY
October 26, 1998 - October 17, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
January 7, 1991 - November 18, 1991
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 31, 1989 - June 10, 1998
IDS LIFE INSURANCE COMPANY
July 31, 1989 - June 10, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
August 20, 1987 - August 10, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
KEEFER PENSION CONSULTING, INC.
CRD#: 150657 / SEC#: 801-70330
Contact information
Regulatory assets under management
| Total Number of Accounts | 88 |
| AUM (Assets Under Management) | $ 166,378,357 |
Red Flags
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