Adam S. Kaplan

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CRD#: 6609019

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.

Adam Scott Kaplan was a registered financial professional .

Adam is a previously registered financial professional and started their career in finance in 2016. Adam had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 17, 2021 - November 30, 2021

GLOBAL ASSETS ADVISORY, LLC

RIA

CRD#: 300460

PAMPANO BEACH, FL

Past

June 29, 2018 - July 19, 2021

IHT WEALTH MANAGEMENT LLC

RIA

CRD#: 171481

New York, NY

Past

May 19, 2017 - April 5, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

May 19, 2017 - April 5, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

August 29, 2016 - June 16, 2017

MORGAN STANLEY

RIA

CRD#: 149777

NEW YORK, NY

Past

July 14, 2016 - June 16, 2017

MORGAN STANLEY

CRD#: 149777

NEW YORK, NY

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".

GLOBAL ASSETS ADVISORY, LLC

CRD#: 300460 / SEC#: 801-114946

RIA

Registered Investment Advisory firm - (4/5/2019 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/27/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 4/5/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/14/2016

General Securities Representative Examination

Current Firm

GLOBAL ASSETS ADVISORY, LLC

CRD#: 300460 / SEC#: 801-114946

RIA

Registered Investment Advisory firm - (4/5/2019 Approved)

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Contact information

Main Address

111 N. Orange Avenue Suite 1000, Orlando, FL 32801

Mailing Address

Phone number

(407) 254-1500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GAA ADV PART 2A 3.25.2025 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	2,213
AUM (Assets Under Management)	$ 338,145,734

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.

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Advisor Monitoring

Firm Stability Insights

Adam S. Kaplan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

IHT WEALTH MANAGEMENT LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY

MORGAN STANLEY

Primary Firm SEC Registration

GLOBAL ASSETS ADVISORY, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/27/2016

SIE

Date: 4/5/2018

Series 7

Date: 7/14/2016

Current Firm

GLOBAL ASSETS ADVISORY, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GLOBAL ASSETS ADVISORY, LLC

TRUST BUT VERIFY

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