MK
Michael T. Kaplan
PROVIZR
ANN ARBOR, MI 48108
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CRD#: 3111747
MK
Michael Truman KaplanPROVIZR
Professional summary
Michael Truman Kaplan, AIF® is a registered financial advisor currently at PROVIZR located in Ann Arbor, Michigan and FOUR FINANCIAL MANAGEMENT located in Ann Arbor, Michigan.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Michael has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 52 and Series 4 exams.
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) 08/09/2009: IV Financial Management - Non-Variable Insurance DBA - At Reported Business Location(s)
(2) 08/15/2009: IV Financial - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - 5% Time Spent - Insurance Partner. INS Types: Life, Fixed Annuities
(3) 01/11/2010: Four Financial Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s)
(4) 06/09/2014: MKBF - Business Entity For Tax/Investment Purposes Only - Investment Related - 777 E. Eisenhower Pkwy., Suite 740, Ann Arbor, MI 48108 - Start 11/21/2008 - 0 Hr/Mo - Tax filing, business checking.
(5) 09/03/2015: KBF, LLC - Business Entity For Tax/Investment Purposes Only - Investment Related - 777 E. Eisenhower Pkwy., Suite 740, Ann Arbor, MI 48108 - Start 09/01/2015 - 10 Hr/Mo; 5 Hour(s) During Securities Trading
(6) 09/08/2015: Provizr - DBA for LPL Business (entity for LPL business) - Investment Related - 777 E. Eisenhower Pkwy., Suite 740, Ann Arbor, MI 48108 - Start 09/01/2015 - 10 Hr/Mo; 5 Hour(s) During Securities Trading
(7) 11/16/2015: Four Financial Tax Services - Tax Prep/Accounting/CPA - Investment Related - 777 E. Eisenhower Pkwy., Suite 740
Ann Arbor, MI 48108 - Start 11/01/2015 - 15 Hr/Mo; 5 Hour(s) During Securities Trading - Tax preparation for individuals and corporations, bookkeeping. Principal and Operations/Management. I will not be preparing or consulting on taxes. I will have 1 or 2 Enrolled Agents employed to prepare the tax services. We will market under a different, but similar, DBA as our LPL securities DBA.
(8) 10/24/2016: Provizr - Registered Investment Advisor Hybrid - DBA: (HYBRID) Provizr - Investment Related - 777 E. Eisenhower Pkwy, Suite 740, Ann Arbor, MI 48108 - Start 07/18/2016 - 160 Hr/Mo; 160 Hour(s) During Securities Trading - I provide investment advisory services through Provizr, an independent investment advisor firm. I started this business activity in October 2016. I expect to spend approximately 160 hours per month] on this activity. Please see the advisory firm�s Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial
(9) 10/26/2016: Four Financial Management - Registered Investment Advisor Hybrid - DBA: (Hybrid) Four Financial Management - Investment Related - 777 E. Eisenhower Pkwy., Suite 740, Ann Arbor, MI 48108 - Start 07/18/2016 - 160 Hr/Mo; 160 Hour(s) During Securities Trading - I provide financial planning and consulting services through Four Financial Management, an independent investment advisor firm. I started this business activity on 10/26/2016. I expect to spend approximately 160 hours/month on this activity. Please see the advisory firm�s Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The advisory firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Truman 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®
Experience
Current
October 21, 2016 - Present
PROVIZR
Office #1: 777 E. Eisenhower Pkwy Suite 742, Ann Arbor, MI 48108RIA
CRD#: 284252
ANN ARBOR, MI
Current
October 21, 2016 - Present
FOUR FINANCIAL MANAGEMENT
Office #1: 777 E. Eisenhower Pkwy Suite 740, Ann Arbor, MI 48108RIA
CRD#: 284251
ANN ARBOR, MI
Current
November 21, 2008 - Present
LPL FINANCIAL LLC
Office #1: 777 E Eisenhower Pkwy Ste 740, Ann Arbor, MI 48108RIA
BD
CRD#: 6413
ANN ARBOR, MI
Past
April 23, 2010 - February 8, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
ANN ARBOR, MI
Past
September 24, 1998 - November 25, 2008
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
ANN ARBOR, MI
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".
FF
FOUR FINANCIAL MANAGEMENT
FOUR FINANCIAL MANAGEMENT | MORMAN, KAPLAN, BRILLIANT AND FRANSKO, LLC
CRD#: 284251 / SEC#: 801-129305
RIA
Registered Investment Advisory firm - (1/25/2024 Approved)Michigan
Registered Investment Advisory firm - (3/27/2024 Terminated)Texas
Registered Investment Advisory firm - (3/20/2024 Terminated)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
Arizona(3/12/2013)
RR
California(1/7/2020)
RR
Colorado(3/24/2014)
RR
Florida(11/21/2008)
RR
Georgia(11/21/2008)
RR
Illinois(4/9/2014)
RR
Indiana(1/3/2019)
RR
Kentucky(2/3/2009)
RR
Massachusetts(4/8/2020)
RR
Michigan(11/21/2008)
IAR
Michigan(10/21/2016)
RR
Minnesota(2/24/2020)
RR
Nevada(11/16/2020)
RR
New York(11/21/2008)
RR
Ohio(11/21/2008)
RR
Pennsylvania(8/11/2009)
RR
South Carolina(7/24/2025)
RR
Texas(4/17/2014)
RR
Virginia(1/7/2020)
RR
Wyoming(1/6/2015)
Exams
What does exam status mean?
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FF
FOUR FINANCIAL MANAGEMENT
FOUR FINANCIAL MANAGEMENT | MORMAN, KAPLAN, BRILLIANT AND FRANSKO, LLC
CRD#: 284251 / SEC#: 801-129305
RIA
Registered Investment Advisory firm - (1/25/2024 Approved)Michigan
Registered Investment Advisory firm - (3/27/2024 Terminated)Texas
Registered Investment Advisory firm - (3/20/2024 Terminated)Loading...
Contact information
Main Address
777 E. Eisenhower Pkwy Suite 740, Ann Arbor, MI 48108
Mailing Address
Phone number
(734) 272-4322
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 600 |
| AUM (Assets Under Management) | $ 162,655,000 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FOUR FINANCIAL MANAGEMENT
CRD#: 284251Ann Arbor, MI 48108TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
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