MK
Michael B. Kaplowitz
OSAIC WEALTH
Katonah, NY
Some features on this profile are disabled
CRD#: 1318247
MK
Professional summary
Michael Bruce Kaplowitz, CFP® is a registered financial advisor currently at OSAIC WEALTH, INC. located in Katonah, New York.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Michael has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
What are your service offerings?
Investment Planning
Employee and Employer Plan Ben...
Comprehensive Financial Planni...
Insurance Planning
Estate Planning
Retirement Planning
Are you a "fiduciary"?
Yes
Aliases
None
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.
1. MICHAEL B. KAPLOWITZ, J.D., CFP POSITION: Principal NATURE: Michael B. Kaplowitz. Sell Long Term Care insurance, Fixed Annuities, Life Insurance, Disability and Health Insurance. INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 08/04/1984 ADDRESS: 26 Lalli Drive, Katonah NY 10536 2. WESTCHESTER COUNTY GOVERNMENT, WESTCHESTER COUNTY NY POSITION: part time Deputy Commissioner NATURE: I am a part-time Deputy Commissioner of Westchester County, NY Department of Environmental Facilities working on a special project for the County Executive. DEF runs the county's 7 sewage treatment plants, 13 sewage collection districts, 4 water districts and a trash refuse district. My specific task is to help consolidate the county's sewer operations into one consolidated district along with the 43 municipalities in the county. This project position is anticipated to only run until the end of 2021. INVESTMENT RELATED: No NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 40 START DATE: 12/17/2019 ADDRESS: 270 North Avenue, 6th Floor, New Rochelle NY 10801 3. SOMERS DEMOCRATIC TOWN COMMITTEE POSITION: District Leader NATURE: Political District Leader with the Somers NY Democratic Town Committee. Carry candidates' petitions to get on the ballot and meet once a month to discuss and vote on town and county political matters. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2020 ADDRESS: 16 Logging Road, Katonah NY 10536 4. SOMERS LIONS CLUB OF SOMERS, NY POSITION: volunteer and 2 year board member NATURE: Lions Club of Somers, NY volunteer and 2 year Board Member. Community charitable organization. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2020 ADDRESS: P.O. Box 95, Somers NY 10689 5. MICHAEL B. KAPLOWITZ, J.D., CFP POSITION: Attorney NATURE: Sole Proprietorship INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/01/2024 ADDRESS: 26 Lalli Drive, Katonah NY 10536, United States DESCRIPTION: Very part-time legal services.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Bruce Kaplowitz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Bruce Kaplowitz'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: 1988
Experience
Current
June 14, 2024 - Present
OSAIC WEALTH, INC.
RIA
BD
CRD#: 23131
Katonah, NY
Current
June 14, 2024 - Present
OSAIC WEALTH, INC.
RIA
BD
CRD#: 23131
Katonah, NY
Past
September 18, 2020 - June 14, 2024
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
SOMERS, NY
Past
September 18, 2020 - June 14, 2024
SECURITIES AMERICA, INC.
BD
CRD#: 10205
Katonah, NY
Past
November 10, 2008 - September 18, 2020
SSN ADVISORY, INC.
RIA
CRD#: 126090
Somers, NY
Past
October 31, 2008 - September 18, 2020
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
Somers, NY
Past
July 1, 2008 - November 6, 2008
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
ARMONK, NY
Past
November 1, 2006 - November 6, 2008
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
ARMONK, NY
Past
May 1, 2000 - November 6, 2006
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
ARMONK, NY
Past
January 2, 1998 - May 1, 2000
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
SYRACUSE, NY
Past
December 15, 1995 - January 2, 1998
PINEBRIDGE SECURITIES LLC
BD
CRD#: 5967
NEW YORK, NY
Past
January 16, 1986 - December 15, 1995
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
November 21, 1984 - January 13, 1986
BERKSHIRE EQUITY SALES, INC.
BD
CRD#: 87
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".
OW
OSAIC WEALTH, INC.
1752 FINANCIAL SOLUTIONS | ASCENT ADVISORS | ASCEND WEALTH PARTNERS, LLC | ARTER FINANCIAL STRATEGIES | ARROWPOINT INVESTMENT SERVICES | ARRE INVESTMENT SERVICES | ARMSTRONG WEALTH MANAGEMENT | ARMSTRONG & ASSOCIATES | ARLEN FINANCIAL | ARKTOS WEALTH MANAGEMENT | ARK WEALTH MANAGEMENT | ARISE WEALTH STRATEGIES | ARCH WEALTH ADVISORS | ARCADE WEALTH ADVISORS | ARBOR GROUP ADVISORS | ARBEITER & BADIUK | ARATA INVESTMENT MANAGEMENT | ARANEO TAX AND FINANCIAL | AQUIDNECK WEALTH MANAGEMENT, LLC | APRIL WILSON FINANCIAL | APPEL INSURANCE ADVISORS, LLC | APPALACHIAN WEALTH MANAGEMENT | ANTHONY GIULIANO | ANN M. MOROCCO | ANGELA MILLER FINANCIAL & INSURANCE SERVICES | ANGELA MARTIN FINANCIAL | ANDERSON-VANHORNE INSURANCE & FINANCIAL | ANDERSON-VANHORNE ASSOCIATES | ANDERSON-HANSEN TEAM | ANDERSON WEALTH PLANNING | ANDERSON WEALTH MANAGEMENT | ANDERSON WEALTH ADVISORS, LLC | ANDERSON FINANCIAL SERVICES | ANCHOR WEALTH MANAGEMENT INC. | AMP CONSULTING GROUP | AMON & ASSOCIATES | AMES FINANCIAL & RETIREMENT SOLUTIONS | AMERIWEALTH RETIREMENT SERVICES | AMERIFLEX FINANCIAL SERVICES | AMERIFLEX | AMERICAN WEALTH STRATEGY GROUP | AMERICAN WEALTH PARTNERS | AMERICAN WEALTH MANAGEMENT | AMERICAN PREMIER FINANCIAL GROUP | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC | AMERICAN FINANCIAL SERVICES | AMERICAN BENEFIT FINANCIAL SERVICES, INC. | AMERICAN BENEFIT CONSULTANTS, INC. | AMANDA M. BONOMI, E.A., CFP | ALTER RETIREMENT PLANNING | ALTA FINANCIAL | ALPINE PLANNING GROUP | ALPHA OMEGA WEALTH PARTNERS | ALLLISON WEALTH MANAGEMENT | ALLISON WEALTH MANAGEMENT | ALLIED WEALTH MANAGEMENT LLC | ALLIED FINANCIAL SERVICES | ALLIED FINANCIAL PARTNERS | ALLIED ASSET MANAGEMENT | ALLIANT FINANCIAL SOLUTIONS | ALLIANCE WEALTH MANAGEMENT | ALLIANCE FINANCIAL SERVICES | ALLEN WEALTH STRATEGIES | ALLEN WEALTH STRATEGEIS | ALLEGIANT INVESTMENTS AND INSURANCE | ALLEGIANCE FINANCIAL PARTNERS | ALLEGIANCE FINANCIAL ADVISORS, INC. | ALLAIRE FINANCIAL STRATEGIES | ALL-WEATHER WEALTH MANAGEMENT | ALL SEASONS ALPHA WEALTH MANAGEMENT | ALL IN FINANCIAL | ALL AMERICAN WEALTH | ALEXANDER FINANCIAL SERVICES | ALABAMA RURAL ELECTRIC WEALTH ADVISORY | AINLEY FINANCIAL GROUP | AIHARA & COMPANY, APC | AIELLO WEALTH MANAGEMENT | AGRIFAMILY FINANCIAL SOLUTIONS | AGRIBUSINESS SUCCESSION ADVISORS, LLC | AGP FINANCIAL | AGGREGATE WEALTH MANAGEMENT | AGARWOOD WEALTH | AFR FINANCIAL GROUP | AFFILIATED ADVISORS | AERA ADVISORY AND WEALTH MANAGEMENT | AEGIS FINANCIAL PARTNERS | AEGIS CONSULTING | ADVISORS FINANCIAL GROUP | ADVISOR SERVICES GROUP LLC | ADVENT FINANCIAL SERVICES | ADVANTAGE WEALTH MANAGEMENT | ADVANTAGE FINANCIAL SERVICES | ADVANTAGE FINANCIAL GROUP | ADVANCED FINANCIAL CONSULTANTS | ADVANCED CAPITAL STRATEGIES | ADVANCED BUSINESS PARTNERS CASCADE | ADVANCE FINANCIAL GROUP | ADV | ADMIRAL FINANCIAL | ADG FINANCIAL SERVICES | ADAPTATION FINANCIAL ADVISORS | ACTUARIAL WEALTH MANAGEMENT | ACT FINANCIAL SERVICES, INC | ACRE EQUITY ADVISORS | ACOSTA WEALTH MANAGEMENT | ACORN TAX AND WEALTH ADVISORS | ACORN FINANCIAL SERVICES INC | ACORN CONSULTING SERVICES INC | ACORD & FONG WEALTH STRATEGIES | ACERRA & ASSOCIATES | ACADEMY FINANCIAL, INC | ACACIA WEALTH MANAGEMENT | ABSOLUTE FINANCIAL PLANNING | ABELS FINANCIAL SERVICES LTD | ABD INSURANCE AND FINANCIAL SERVICES | A3 FINANCIAL PLANNING | A2Z WEALTH MANAGEMENT | A.M. GINSBERG ADVISORY GROUP | A.B. CAMPBELL & ASSOCIATES | A. RANDALL FINANCIAL | A. KRANITZ ASSOCIATES | A. GRAY FINANCIAL | A. GEOFFREY WADE FINANCIAL SERVICES LLC | A&M FINANCIAL SERVICES | A&M FINANCIAL | A LIFE WELL SPENT | 88 PROSPERITY WEALTH MANAGEMENT | 457 PLAN SERVICE GROUP | 435 FINANCIAL | 401KCONCEPTS | 3RD COAST FINANCIAL | 3G FINANCIAL | 30,000 FT. WEALTH MANAGEMENT | 2ND OPINION PARTNERS | 21ST CENTURY SECURITIES | 21ST CENTURY FINANCIAL SERVICES | 20/20 WEALTH MANAGEMENT GROUP | 20/20 FINANCIAL GROUP | 2 SISTERS FINANCIAL | 1ST STEP FINANCIAL | 1ST FINANCIAL SERVICES | 1865 WEALTH ADVISORS AT IMPRESSIA BANK | 1865 WEALTH ADVISORS AT FC BANK | 1865 WEALTH ADVISORS AT ERIEBANK | 1865 WEALTH ADVISORS AT CNB BANK | 1865 WEALTH ADVISORS AT BANK ON BUFFALO | 1752 FINANCIAL SOLUTIONS, LLC...
CRD#: 23131 / SEC#: 801-54859, 8-40218
RIA
Registered Investment Advisory firm - SEC (9/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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(6/14/2024)
IAR
California(6/14/2024)
RR
Colorado(6/14/2024)
RR
Connecticut(6/14/2024)
RR
Florida(6/14/2024)
RR
Illinois(6/14/2024)
RR
Massachusetts(6/14/2024)
RR
Michigan(6/14/2024)
RR
Nevada(6/14/2024)
RR
New Jersey(6/14/2024)
IAR
New Jersey(6/14/2024)
RR
New Mexico(6/14/2024)
RR
New York(6/14/2024)
IAR
New York(6/14/2024)
RR
Oregon(6/14/2024)
RR
Pennsylvania(6/14/2024)
RR
Texas(6/14/2024)
RR
Virginia(6/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
OW
OSAIC WEALTH, INC.
1752 FINANCIAL SOLUTIONS | ASCENT ADVISORS | ASCEND WEALTH PARTNERS, LLC | ARTER FINANCIAL STRATEGIES | ARROWPOINT INVESTMENT SERVICES | ARRE INVESTMENT SERVICES | ARMSTRONG WEALTH MANAGEMENT | ARMSTRONG & ASSOCIATES | ARLEN FINANCIAL | ARKTOS WEALTH MANAGEMENT | ARK WEALTH MANAGEMENT | ARISE WEALTH STRATEGIES | ARCH WEALTH ADVISORS | ARCADE WEALTH ADVISORS | ARBOR GROUP ADVISORS | ARBEITER & BADIUK | ARATA INVESTMENT MANAGEMENT | ARANEO TAX AND FINANCIAL | AQUIDNECK WEALTH MANAGEMENT, LLC | APRIL WILSON FINANCIAL | APPEL INSURANCE ADVISORS, LLC | APPALACHIAN WEALTH MANAGEMENT | ANTHONY GIULIANO | ANN M. MOROCCO | ANGELA MILLER FINANCIAL & INSURANCE SERVICES | ANGELA MARTIN FINANCIAL | ANDERSON-VANHORNE INSURANCE & FINANCIAL | ANDERSON-VANHORNE ASSOCIATES | ANDERSON-HANSEN TEAM | ANDERSON WEALTH PLANNING | ANDERSON WEALTH MANAGEMENT | ANDERSON WEALTH ADVISORS, LLC | ANDERSON FINANCIAL SERVICES | ANCHOR WEALTH MANAGEMENT INC. | AMP CONSULTING GROUP | AMON & ASSOCIATES | AMES FINANCIAL & RETIREMENT SOLUTIONS | AMERIWEALTH RETIREMENT SERVICES | AMERIFLEX FINANCIAL SERVICES | AMERIFLEX | AMERICAN WEALTH STRATEGY GROUP | AMERICAN WEALTH PARTNERS | AMERICAN WEALTH MANAGEMENT | AMERICAN PREMIER FINANCIAL GROUP | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC | AMERICAN FINANCIAL SERVICES | AMERICAN BENEFIT FINANCIAL SERVICES, INC. | AMERICAN BENEFIT CONSULTANTS, INC. | AMANDA M. BONOMI, E.A., CFP | ALTER RETIREMENT PLANNING | ALTA FINANCIAL | ALPINE PLANNING GROUP | ALPHA OMEGA WEALTH PARTNERS | ALLLISON WEALTH MANAGEMENT | ALLISON WEALTH MANAGEMENT | ALLIED WEALTH MANAGEMENT LLC | ALLIED FINANCIAL SERVICES | ALLIED FINANCIAL PARTNERS | ALLIED ASSET MANAGEMENT | ALLIANT FINANCIAL SOLUTIONS | ALLIANCE WEALTH MANAGEMENT | ALLIANCE FINANCIAL SERVICES | ALLEN WEALTH STRATEGIES | ALLEN WEALTH STRATEGEIS | ALLEGIANT INVESTMENTS AND INSURANCE | ALLEGIANCE FINANCIAL PARTNERS | ALLEGIANCE FINANCIAL ADVISORS, INC. | ALLAIRE FINANCIAL STRATEGIES | ALL-WEATHER WEALTH MANAGEMENT | ALL SEASONS ALPHA WEALTH MANAGEMENT | ALL IN FINANCIAL | ALL AMERICAN WEALTH | ALEXANDER FINANCIAL SERVICES | ALABAMA RURAL ELECTRIC WEALTH ADVISORY | AINLEY FINANCIAL GROUP | AIHARA & COMPANY, APC | AIELLO WEALTH MANAGEMENT | AGRIFAMILY FINANCIAL SOLUTIONS | AGRIBUSINESS SUCCESSION ADVISORS, LLC | AGP FINANCIAL | AGGREGATE WEALTH MANAGEMENT | AGARWOOD WEALTH | AFR FINANCIAL GROUP | AFFILIATED ADVISORS | AERA ADVISORY AND WEALTH MANAGEMENT | AEGIS FINANCIAL PARTNERS | AEGIS CONSULTING | ADVISORS FINANCIAL GROUP | ADVISOR SERVICES GROUP LLC | ADVENT FINANCIAL SERVICES | ADVANTAGE WEALTH MANAGEMENT | ADVANTAGE FINANCIAL SERVICES | ADVANTAGE FINANCIAL GROUP | ADVANCED FINANCIAL CONSULTANTS | ADVANCED CAPITAL STRATEGIES | ADVANCED BUSINESS PARTNERS CASCADE | ADVANCE FINANCIAL GROUP | ADV | ADMIRAL FINANCIAL | ADG FINANCIAL SERVICES | ADAPTATION FINANCIAL ADVISORS | ACTUARIAL WEALTH MANAGEMENT | ACT FINANCIAL SERVICES, INC | ACRE EQUITY ADVISORS | ACOSTA WEALTH MANAGEMENT | ACORN TAX AND WEALTH ADVISORS | ACORN FINANCIAL SERVICES INC | ACORN CONSULTING SERVICES INC | ACORD & FONG WEALTH STRATEGIES | ACERRA & ASSOCIATES | ACADEMY FINANCIAL, INC | ACACIA WEALTH MANAGEMENT | ABSOLUTE FINANCIAL PLANNING | ABELS FINANCIAL SERVICES LTD | ABD INSURANCE AND FINANCIAL SERVICES | A3 FINANCIAL PLANNING | A2Z WEALTH MANAGEMENT | A.M. GINSBERG ADVISORY GROUP | A.B. CAMPBELL & ASSOCIATES | A. RANDALL FINANCIAL | A. KRANITZ ASSOCIATES | A. GRAY FINANCIAL | A. GEOFFREY WADE FINANCIAL SERVICES LLC | A&M FINANCIAL SERVICES | A&M FINANCIAL | A LIFE WELL SPENT | 88 PROSPERITY WEALTH MANAGEMENT | 457 PLAN SERVICE GROUP | 435 FINANCIAL | 401KCONCEPTS | 3RD COAST FINANCIAL | 3G FINANCIAL | 30,000 FT. WEALTH MANAGEMENT | 2ND OPINION PARTNERS | 21ST CENTURY SECURITIES | 21ST CENTURY FINANCIAL SERVICES | 20/20 WEALTH MANAGEMENT GROUP | 20/20 FINANCIAL GROUP | 2 SISTERS FINANCIAL | 1ST STEP FINANCIAL | 1ST FINANCIAL SERVICES | 1865 WEALTH ADVISORS AT IMPRESSIA BANK | 1865 WEALTH ADVISORS AT FC BANK | 1865 WEALTH ADVISORS AT ERIEBANK | 1865 WEALTH ADVISORS AT CNB BANK | 1865 WEALTH ADVISORS AT BANK ON BUFFALO | 1752 FINANCIAL SOLUTIONS, LLC...
CRD#: 23131 / SEC#: 801-54859, 8-40218
RIA
Registered Investment Advisory firm - SEC (9/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255
Mailing Address
18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255
Phone number
(800) 821-5100
Established
Delaware since 08/05/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
8,717
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC, INC. | SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | CEO, PRESIDENT, DIRECTOR | 3132991 |
| FORD, ERINN JUNE | DIRECTOR | 2176816 |
| MIHAL, SHAWN MICHAEL | SVP, CHIEF COMPLIANCE OFFICER | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 797,559 |
| AUM (Assets Under Management) | $ 200,266,275,275 |
Disclosures
| Regulatory Event | 50 |
| Arbitration | 31 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/14/2025 | ||
| 12/18/2024 | ||
| 01/26/2024 |
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.
