Richard M. Manson
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 Milton Manson was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1995. Richard had worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2017 - November 28, 2017
KAPLAN WEALTH MANAGEMENT, INC.
February 20, 2013 - February 8, 2017
INDEPENDENT FINANCIAL PARTNERS
January 9, 2004 - March 22, 2013
LPL FINANCIAL LLC
January 9, 2004 - September 8, 2017
LPL FINANCIAL LLC
February 7, 1995 - January 15, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
January 24, 1995 - January 15, 2004
IDS LIFE INSURANCE COMPANY
January 24, 1995 - January 15, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
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
KAPLAN WEALTH MANAGEMENT, INC.
CRD#: 167880 / SEC#: 801-78074
Contact information
Regulatory assets under management
| Total Number of Accounts | 312 |
| AUM (Assets Under Management) | $ 83,393,420 |
Red Flags
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