Samuel E. Kaplowitz
Professional summary
Samuel Elias Kaplowitz, who also goes by S E Kaplowitz, Sam Kaplowitz, is a registered financial advisor currently at SOUNDVIEW PRIVATE WEALTH ADVISORS located in Cheshire, Connecticut.
Samuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Samuel has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
At a Glance
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Samuel Elias Kaplowitz's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 10, 2026 - Present
SOUNDVIEW PRIVATE WEALTH ADVISORS
Office #1: 275 Maple Ave, Cheshire, CT 06410March 31, 2023 - July 1, 2026
BREACHWAY INVESTMENTS, LLC
March 17, 2016 - April 3, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 1, 2012 - April 3, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 10, 2011 - October 23, 2012
WELLS FARGO CLEARING SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(6/10/2026)
(6/12/2026)
(6/15/2026)
Exams
Current Firm
SOUNDVIEW PRIVATE WEALTH ADVISORS
CRD#: 340845 / SEC#:
Contact information
Red Flags
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