Stefan Kaplan

CETERA INVESTMENT ADVISERS LLC

MELVILLE, NY 11747

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CRD#: 2274091

Professional summary

Stefan Kaplan is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Melville, New York and CETERA WEALTH SERVICES, LLC located in Melville, New York.

Stefan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Stefan has worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 02/2019 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: LIFE INSURANCE SALES 2. NAME OF OTHER BUSINESS: NORTH RIDGE WEALTH PLANNING INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 2/2019 POSITION/TITLE/RELATIONSHIP: ADVISOR - FINANCIAL SERVICES APX NUMBER OF HOURS PER WEEK: 20-30 APX NUMBER OF HOURS DURING TRADING HOURS: 20-30 BRIEF DESCRIPTION OF DUTIES: ADVISOR - FINANCIAL SERVICES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stefan Kaplan's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1895 Walt Whitman Rd Ste 6, Melville, NY 11747

RIA

CRD#: 105644

MELVILLE, NY

Current

February 1, 2019 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1895 Walt Whitman Rd Ste 6, Melville, NY 11747

CRD#: 13572

Melville, NY

Past

March 31, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

October 4, 2017 - February 1, 2019

NORTH RIDGE SECURITIES CORP.

CRD#: 27098

MELVILLE, NY

Past

March 25, 2017 - October 3, 2017

MML INVESTORS SERVICES, LLC

CRD#: 10409

HAUPPAUGE, NY

Past

December 5, 2011 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

HAUPPAUGE, NY

Past

January 17, 2006 - December 1, 2011

SIGNATOR INVESTORS, INC.

CRD#: 468

WESTBURY, NY

Past

January 3, 2005 - December 15, 2005

HENLEY & COMPANY LLC

CRD#: 131453

UNIONDALE, NY

Past

November 14, 2003 - December 31, 2004

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

April 29, 2002 - November 12, 2003

RYAN BECK & CO.

CRD#: 3248

FLORHAM PARK, NJ

Past

February 28, 2001 - May 20, 2002

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

November 10, 1993 - March 7, 2001

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

October 13, 1992 - November 12, 1993

J. GREGORY & COMPANY, INC.

CRD#: 14892

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 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.

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

Arizona
(9/17/2024)

Connecticut
(1/5/2021)

IAR

Connecticut
(11/21/2024)

Florida
(2/5/2019)

Georgia
(12/2/2021)

Illinois
(5/11/2023)

New Jersey
(2/1/2019)

New York
(2/1/2019)

IAR

New York
(6/29/2023)

North Carolina
(5/25/2023)

Pennsylvania
(2/1/2019)

Virginia
(2/1/2019)

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

State Security Law Exam

Series 63

Date: 10/16/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/8/1992

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	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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Stefan Kaplan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stefan Kaplan's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

NORTH RIDGE SECURITIES CORP.

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

SIGNATOR INVESTORS, INC.

HENLEY & COMPANY LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RYAN BECK & CO.

GRUNTAL & CO., L.L.C.

JOSEPHTHAL & CO., INC.

J. GREGORY & COMPANY, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/16/1992

SIE

Date: 10/1/2018

Series 7

Date: 10/8/1992

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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