Michael Keith Kaplan
Professional Summary
Michael Keith Kaplan is a registered financial advisor currently at PROSPERA FINANCIAL SERVICES, INC. located in Houston, Texas. Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Michael has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
34 years in the financial services industry
Current & Past Employments
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Current Firm
ACCREDITED FIDUCIARY ADVISORS, LLC | WAITS FINANCIAL GROUP | TWIN RIVER WEALTH MANAGEMENT | TVC WEALTH | TN WEALTH MANAGEMENT | THE RAGUSA GROUP | THE OPTIMA GROUP | THE FINANCIAL MAESTRO, LLC | THE FINANCIAL MAESTRO | THE DANIAS GROUP | THE BISHOFF FINANCIAL GROUP | TESTA & ASSOCIATES LLC | TCA FINANCIAL GROUP, LLC | TAYLOR & ASSOCIATES | SUMMIT INVESTMENTS | STONEBRIDGE WEALTH MANAGEMENT | STOCKS WEALTH MANAGEMENT | SPEICHER PRIVATE WEALTH | SOUTHERN INVESTMENT PARTNERS | SOURCE ROCK CAPITAL MANAGEMENT | SILVERTHORN INVESTMENTS | SILVER CREEK FINANCIAL GROUP, LLC | SILVA FINANCIAL GROUP | SIERRA PACIFIC WEALTH MANAGEMENT | SHAFRANEK, FLANAGAN AND GREGORY | SECURITY FIRST GROUP | SCATOLINI WEALTH MANAGEMENT | SARA GIBBS WEALTH MANAGEMENT | SABELHAUS WEALTH PARTNERS | ROBERT JAMES INVESTMENTS | RIVERSTONE FINANCIAL GROUP | RICK WHITEHURST ASSET MANAGEMENT | REED WEALTH MANAGEMENT | REDWOOD ADVISORY GROUP | REAGAN JAMES WEALTH ADVISORS | REAGAN HOLLOWAY | REAGAN CONSULTING, LLC | PYLE FINANCIAL SERVICES | PSE WEALTH MANAGEMENT | PROVIDENT STRATEGIES GROUP | PROSPERA WEALTH ADVISORS | PROSPERA FINANCIAL SERVICES, INC. | PROSPERA FINANCIAL SERVICES | PROSPERA FINANCIAL NY | PROMETHEUS WEALTH MANAGEMENT | PRICE PERKINS LLC | PLYMOUTH ROCK FINANCIAL PARTNERS | PITTSBURGH WEALTH MANAGEMENT GROUP | PHILLIPS FINANCIAL GROUP | PARKLANE FINANCIAL ADVISORS, LLC | PARACLETE WEALTH CONSULTANTS | OSSOLA WEALTH MANAGEMENT | OPTIMA WEALTH MANAGEMENT, INC | OAKES WEALTH MANAGEMENT | MYERS INVESTMENT GROUP, INC. | MOSSAKOWSKI & NICHOLS WEALTH MANAGEMENT, LLC | MONEY MATTERS 911 | MN RETIREMENT SERVICES | MILLER FINANCIAL SERVICES LLC | MICHAEL DALLAS RETIREMENT SOLUTIONS | MCMAHAN FINANCIAL, LLC | MCGUIRE-DYKE INVESTMENT GROUP | MATTHEWS FINANCIAL SERVICES | MAHON FINANCIAL | MAGELLAN WEALTH ADVISORS | LYNN WEALTH MANAGEMENT | LUNDY FINANCIAL SERVICES | LOLLIS FINANCIAL ADVISORS, LLC | LIVEOAK WEALTH ADVISORS, LLC | LITTLE & ASSOCIATES WEALTH MANAGEMENT | LEVEL WEALTH MANAGEMENT | KUTZEN FINANCIAL | KINGSLEY ADVISORS | KATZ FINANCIAL | KAPLAN WEALTH ADVISORS | JRS WEALTH MANAGEMENT | JOHNSON WEALTH MANAGEMENT | JEFF POOSCH FINANCIAL SERVICES, INC | JAMESTOWNE INVESTMENTS, LLC | JAK WEALTH MANAGEMENT | INSTITUTIONAL EQUITIES | HUDDLESTON SMITH WEALTH MANAGEMENT | HOWELL WEALTH ADVISORS | HFS SECURITIES | HEIDTKE & CO, INC | HARTMAN INVESTMENT GROUP, LLC | HANSEN, STILES & ASSOCIATES | GOFF WEALTH MANAGEMENT, LLC | GODLEY WEALTH MANAGEMENT | G4 WEALTH MANAGEMENT | FULCRUM WEALTH PLANNING | FOREMAN FINANCIAL GROUP | FOLTZ INVESTMENT GROUP, LLC | FINANCIAL E STRATEGIES, LLC | FINANCIAL AND INSURANCE ASSOCIATES | FINANCIAL & TAX STRATEGIES, LLC | FINANCIAL & INSURANCE ASSOCIATES | FIDUCIARY 401(K) | FETROW WEALTH MANAGEMENT | ERIKSEN FINANCIAL, INC | ENDURANCE WEALTH PARTNERS | EAST COAST CAPITAL MANAGEMENT | DORSEY & COMPANY | DOMINION CAPITAL PARTNERS WEALTH MANAGEMENT | DFS INVESTMENTS, LLC | DAY WEALTH MANAGEMENT | DANIAS FINANCIAL MANAGEMENT | D. PATERSON COPE WEALTH MANAGEMENT | CURMUDGEON CAPITAL LLC | CROOK WEALTH MANAGEMENT | COVINO FINANCIAL GR LTD DBA LEGACY WLTH MGMT GR | COTTONWOOD CAPITAL ADVISORS | CORDATUS WEALTH MANAGEMENT, LLC | CLEARPATH INVESTMENT | CHARNEY INVESTMENT GROUP | CHARLOTTE FINANCIAL ADVISORS | CHAPMAN WEALTH MANAGEMENT | CECILCO | CASTLEROCK FINANCIAL ADVISORS | CASCADE WEALTH MANAGEMENT | CARDWELL AND ASSOCIATES | CAPTRUST FINANCIAL ADVISORS | C E GAYE AND SONS SECURITIES | BULLINGER WEALTH MANAGEMENT | BUCHANAN CAPITAL, INC | BRIAN L SMITH FINANCIAL ADVISORS | BOTEL ASSET MANAGEMENT | BOB BENNIE WEALTH MANAGEMENT | BLANCHARD FINANCIAL SERVICES | BESPOKE PRIVATE WEALTH ADVISORS | BENTLEY & COMPANY INVESTMENTS | BENNETT JENSEN PERSONAL WEALTH ADVISORS | BELL WEALTH MANAGEMENT LLC | BEDNARZ FINANCIAL | BECKER SUFFERN MCLANAHAN, LTD | BARRY VOGEL & ASSOCIATES | BARRIGER & CO, INC. | BARNETT FINANCIAL PARTNERS, INC | BACKE PAGE GROUP | ASSET CAPITAL MANAGEMENT | ASCENDANT FINANCIAL ADVISORS | ARK FINANCIAL MANAGEMENT, LLC | ARBITRAGE MANAGEMENT GROUP | ALEX SHORE FINANCIAL | ADELAIDE WEALTH ADVISORS | ADDISON SECURITIES, INC. | ACM WEALTH MANAGEMENT...
Contact Information
Main Address
5429 Lbj Freeway Suite 750, Dallas, TX 75240Mailing Address
5429 Lbj Freeway Suite 750, Dallas, TX 75240Phone Number
(972) 581-3000Established
Texas since 07/16/1982Firm Type
CorporationFiscal Year End
JuneFirm Size
Medium# of Employees
333SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROSPERA FINANCIAL, LLC | HOLDING COMPANY | — |
| BAXTER, SHAWN | CHIEF COMPLIANCE OFFICER | 4346594 |
| EDWARDS, TIM ALAN | CO-CEO | 1569619 |
| KERN, EDWARD | CHIEF FINANCIAL OFFICER | 4364143 |
| PASCUZZI, RICHARD DEAN | EXECUTIVE VICE PRESIDENT, SECRETARY | 711548 |
| STRINGER, DAVID WALTER | CO-CEO | 1410548 |
| WILLIAMS, TARAH ELIZABETH | PRESIDENT, CHIEF OPERATING OFFICER | 2727706 |
Regulatory Assets Under Management
Total Number of Accounts
29,500AUM (Assets Under Management)
$12,435,115,072Disclosures
Regulatory Event
10Arbitration
3Bond
1Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/03/2026 | Cover Page | Report |
| 02/26/2025 | Cover Page | Report |
| 04/23/2024 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
ACCREDITED FIDUCIARY ADVISORS, LLC | WAITS FINANCIAL GROUP | TWIN RIVER WEALTH MANAGEMENT | TVC WEALTH | TN WEALTH MANAGEMENT | THE RAGUSA GROUP | THE OPTIMA GROUP | THE FINANCIAL MAESTRO, LLC | THE FINANCIAL MAESTRO | THE DANIAS GROUP | THE BISHOFF FINANCIAL GROUP | TESTA & ASSOCIATES LLC | TCA FINANCIAL GROUP, LLC | TAYLOR & ASSOCIATES | SUMMIT INVESTMENTS | STONEBRIDGE WEALTH MANAGEMENT | STOCKS WEALTH MANAGEMENT | SPEICHER PRIVATE WEALTH | SOUTHERN INVESTMENT PARTNERS | SOURCE ROCK CAPITAL MANAGEMENT | SILVERTHORN INVESTMENTS | SILVER CREEK FINANCIAL GROUP, LLC | SILVA FINANCIAL GROUP | SIERRA PACIFIC WEALTH MANAGEMENT | SHAFRANEK, FLANAGAN AND GREGORY | SECURITY FIRST GROUP | SCATOLINI WEALTH MANAGEMENT | SARA GIBBS WEALTH MANAGEMENT | SABELHAUS WEALTH PARTNERS | ROBERT JAMES INVESTMENTS | RIVERSTONE FINANCIAL GROUP | RICK WHITEHURST ASSET MANAGEMENT | REED WEALTH MANAGEMENT | REDWOOD ADVISORY GROUP | REAGAN JAMES WEALTH ADVISORS | REAGAN HOLLOWAY | REAGAN CONSULTING, LLC | PYLE FINANCIAL SERVICES | PSE WEALTH MANAGEMENT | PROVIDENT STRATEGIES GROUP | PROSPERA WEALTH ADVISORS | PROSPERA FINANCIAL SERVICES, INC. | PROSPERA FINANCIAL SERVICES | PROSPERA FINANCIAL NY | PROMETHEUS WEALTH MANAGEMENT | PRICE PERKINS LLC | PLYMOUTH ROCK FINANCIAL PARTNERS | PITTSBURGH WEALTH MANAGEMENT GROUP | PHILLIPS FINANCIAL GROUP | PARKLANE FINANCIAL ADVISORS, LLC | PARACLETE WEALTH CONSULTANTS | OSSOLA WEALTH MANAGEMENT | OPTIMA WEALTH MANAGEMENT, INC | OAKES WEALTH MANAGEMENT | MYERS INVESTMENT GROUP, INC. | MOSSAKOWSKI & NICHOLS WEALTH MANAGEMENT, LLC | MONEY MATTERS 911 | MN RETIREMENT SERVICES | MILLER FINANCIAL SERVICES LLC | MICHAEL DALLAS RETIREMENT SOLUTIONS | MCMAHAN FINANCIAL, LLC | MCGUIRE-DYKE INVESTMENT GROUP | MATTHEWS FINANCIAL SERVICES | MAHON FINANCIAL | MAGELLAN WEALTH ADVISORS | LYNN WEALTH MANAGEMENT | LUNDY FINANCIAL SERVICES | LOLLIS FINANCIAL ADVISORS, LLC | LIVEOAK WEALTH ADVISORS, LLC | LITTLE & ASSOCIATES WEALTH MANAGEMENT | LEVEL WEALTH MANAGEMENT | KUTZEN FINANCIAL | KINGSLEY ADVISORS | KATZ FINANCIAL | KAPLAN WEALTH ADVISORS | JRS WEALTH MANAGEMENT | JOHNSON WEALTH MANAGEMENT | JEFF POOSCH FINANCIAL SERVICES, INC | JAMESTOWNE INVESTMENTS, LLC | JAK WEALTH MANAGEMENT | INSTITUTIONAL EQUITIES | HUDDLESTON SMITH WEALTH MANAGEMENT | HOWELL WEALTH ADVISORS | HFS SECURITIES | HEIDTKE & CO, INC | HARTMAN INVESTMENT GROUP, LLC | HANSEN, STILES & ASSOCIATES | GOFF WEALTH MANAGEMENT, LLC | GODLEY WEALTH MANAGEMENT | G4 WEALTH MANAGEMENT | FULCRUM WEALTH PLANNING | FOREMAN FINANCIAL GROUP | FOLTZ INVESTMENT GROUP, LLC | FINANCIAL E STRATEGIES, LLC | FINANCIAL AND INSURANCE ASSOCIATES | FINANCIAL & TAX STRATEGIES, LLC | FINANCIAL & INSURANCE ASSOCIATES | FIDUCIARY 401(K) | FETROW WEALTH MANAGEMENT | ERIKSEN FINANCIAL, INC | ENDURANCE WEALTH PARTNERS | EAST COAST CAPITAL MANAGEMENT | DORSEY & COMPANY | DOMINION CAPITAL PARTNERS WEALTH MANAGEMENT | DFS INVESTMENTS, LLC | DAY WEALTH MANAGEMENT | DANIAS FINANCIAL MANAGEMENT | D. PATERSON COPE WEALTH MANAGEMENT | CURMUDGEON CAPITAL LLC | CROOK WEALTH MANAGEMENT | COVINO FINANCIAL GR LTD DBA LEGACY WLTH MGMT GR | COTTONWOOD CAPITAL ADVISORS | CORDATUS WEALTH MANAGEMENT, LLC | CLEARPATH INVESTMENT | CHARNEY INVESTMENT GROUP | CHARLOTTE FINANCIAL ADVISORS | CHAPMAN WEALTH MANAGEMENT | CECILCO | CASTLEROCK FINANCIAL ADVISORS | CASCADE WEALTH MANAGEMENT | CARDWELL AND ASSOCIATES | CAPTRUST FINANCIAL ADVISORS | C E GAYE AND SONS SECURITIES | BULLINGER WEALTH MANAGEMENT | BUCHANAN CAPITAL, INC | BRIAN L SMITH FINANCIAL ADVISORS | BOTEL ASSET MANAGEMENT | BOB BENNIE WEALTH MANAGEMENT | BLANCHARD FINANCIAL SERVICES | BESPOKE PRIVATE WEALTH ADVISORS | BENTLEY & COMPANY INVESTMENTS | BENNETT JENSEN PERSONAL WEALTH ADVISORS | BELL WEALTH MANAGEMENT LLC | BEDNARZ FINANCIAL | BECKER SUFFERN MCLANAHAN, LTD | BARRY VOGEL & ASSOCIATES | BARRIGER & CO, INC. | BARNETT FINANCIAL PARTNERS, INC | BACKE PAGE GROUP | ASSET CAPITAL MANAGEMENT | ASCENDANT FINANCIAL ADVISORS | ARK FINANCIAL MANAGEMENT, LLC | ARBITRAGE MANAGEMENT GROUP | ALEX SHORE FINANCIAL | ADELAIDE WEALTH ADVISORS | ADDISON SECURITIES, INC. | ACM WEALTH MANAGEMENT...
State Registrations and Notice Filings
(3/25/2021)
(3/25/2021)
(3/25/2021)
(3/30/2021)
(3/25/2021)
(3/21/2023)
(3/25/2021)
(3/25/2021)
(3/25/2021)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Michael Keith Kaplan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Keith Kaplan's CRS (Customer Relationship Summary).
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