SK
Stephen A. Kaplan
CETERA INVESTMENT ADVISERS LLC
Miami, FL
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CRD#: 2397350
SK
Professional summary
Stephen Alan Kaplan, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Miami, Florida and CETERA WEALTH SERVICES, LLC located in Miami, Florida.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Stephen has worked at 4 firms and has passed the Series 65, 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) Fiduciary Appointment Trustee 8920 SW 104th St Miami FL 33176 6/20/2016 0hrs~0hrs Responsible for signing trust tax returns 2) Fiduciary Appointment Trustee 8920 SW 104th St Miami FL 33176-3714 10/10/2016 1hrs~0hrs Do the accounting for the trust in preparation of Form 1041, manage the assets of the trust in combination with the beneficiary. I will also make distributions to the beneficiary in accordance with the trust agreement 3) Fiduciary Appointment Trustee 8920 SW 104th St Miami FL 33176 6/21/2016 0hrs~0hrs Responsible for signing trust tax returns 4) Financial Planning Strategies, Inc 8920 SW 104th St Miami FL 33176 Tax Preparation/Accounting President 10/13/2004 10hrs~0hrs I manage my tax, trust, and insurance through this business.| 5) DOROTHY M. KAPLAN TR FBO STEPHEN A. KAPLAN, STEPHEN A. KAPLAN, TRUSTEE POSITION: Trustee NATURE: I am the Trustee and Beneficiary of this Trust Account. This account is being opened at Morgan Stanley. Upon the completion, a new account will be opened at Avantax. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 02/10/2025 ADDRESS: 8920 SW 104th St., Miami FL 33176, United States DESCRIPTION: I am solely acting as a Trustee until the account gets moved to Avantax. 6) Stephen A. Kaplan, Trustee; Other; Other; NIR; 0; 08/14/2010; 8920 SW 104th St Miami FL 33176; Trustee services, including maintenance of accounting records for preparation of tax returns, assistance in investment management and writing checks including distributions to beneficiaries.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Alan Kaplan'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: 1993
Experience
Current
August 19, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
Miami, FL
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
MIAMI, FL
Past
February 11, 1994 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
MIAMI, FL
Past
November 22, 1993 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
MIAMI, FL
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.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(9/5/2025)
IAR
Florida(8/19/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
Illinois(9/5/2025)
RR
Maryland(9/5/2025)
RR
New Jersey(9/18/2025)
RR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
Tennessee(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Vermont(9/18/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
