Howard E. Kaplan
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.
Howard Erwin Kaplan was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1969. Howard had worked at 9 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2012 - October 11, 2013
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 11, 2012 - October 11, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 8, 2006 - May 14, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 8, 2006 - May 14, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 7, 1991 - March 8, 2006
ADVEST, INC.
January 25, 1977 - March 8, 2006
ADVEST, INC.
June 24, 1975 - January 25, 1977
ADVEST CO
December 8, 1972 - June 14, 1973
BROOKDALE SECURITIES CORP
May 17, 1972 - June 13, 1975
J.P. MORGAN SECURITIES LLC
October 29, 1971 - June 14, 1972
WEIS SECURITIES, INC.
March 18, 1969 - December 8, 1972
BROOKDALE SECURITIES CORPORATI ON
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
PC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 2/6/1961
Registered Representative ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,107,860 |
| AUM (Assets Under Management) | $ 390,042,864,529 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
