Carole Kaplan
Professional summary
Carole Kaplan, who also goes by Carole Sydney Kaplan, Carole Kaplan, is a registered financial professional currently at KESTRA INVESTMENT SERVICES, LLC located in Austin, Texas.
Carole is registered as a RR (Registered Representative) and started their career in finance in 2021. Carole has worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 3 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carole Kaplan's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 28, 2026 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 5707 Southwest Parkway Building 2, Ste 400, Austin, TX 78735January 2, 2026 - July 24, 2026
IMST DISTRIBUTORS, LLC
July 21, 2025 - July 24, 2026
FORESIDE FUND SERVICES, LLC
December 19, 2023 - June 3, 2025
FIRST CITIZENS INVESTOR SERVICES, INC.
August 1, 2022 - December 31, 2023
SVB INVESTMENT SERVICES INC.
June 16, 2021 - June 22, 2022
MILLIMAN INVESTMENT MANAGEMENT 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
(7/28/2026)
(7/28/2026)
Exams
Series 7TO
Date: 4/5/2021
General Securities Representative ExaminationFINRA
Current Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
Red Flags
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Company Information
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046Austin, TX 78735TRUST BUT VERIFY
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