Fredric D. Kaplan

SPIDERROCK ADVISORS

Sharon, MA

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CRD#: 7869658

Professional summary

Fredric Dana Kaplan is a registered financial advisor currently at SPIDERROCK ADVISORS, LLC located in Sharon, Massachusetts and BLACKROCK INVESTMENTS, LLC located in Princeton, New Jersey.

Fredric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2024. Fredric has worked at 3 firms and has passed the Series 66, Series 7TO and SIE 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Fredric Dana Kaplan's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 13, 2026 - Present

SPIDERROCK ADVISORS, LLC

RIA

CRD#: 171992

Sharon, MA

Current

July 13, 2026 - Present

BLACKROCK INVESTMENTS, LLC

Office #1: 1 University Square Dr, Princeton, NJ 08540

CRD#: 38642

PRINCETON, NJ

Past

September 26, 2024 - July 15, 2026

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

NEEDHAM, MA

Past

July 25, 2024 - July 15, 2026

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEEDHAM, MA

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".

SPIDERROCK ADVISORS, LLC

CRD#: 171992 / SEC#: 801-80178

RIA

Registered Investment Advisory firm - (8/20/2014 Approved)

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.

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

Alabama
(7/13/2026)

Alaska
(7/13/2026)

Arizona
(7/13/2026)

Arkansas
(7/13/2026)

California
(7/13/2026)

Colorado
(7/13/2026)

Connecticut
(7/13/2026)

Delaware
(7/13/2026)

District of Columbia
(7/13/2026)

Florida
(7/13/2026)

Georgia
(7/13/2026)

Hawaii
(7/13/2026)

Idaho
(7/13/2026)

Illinois
(7/13/2026)

IAR

Illinois
(7/13/2026)

Indiana
(7/13/2026)

Iowa
(7/13/2026)

Kansas
(7/13/2026)

Kentucky
(7/13/2026)

Louisiana
(7/13/2026)

Maine
(7/13/2026)

Maryland
(7/13/2026)

Massachusetts
(7/13/2026)

Michigan
(7/13/2026)

Minnesota
(7/13/2026)

Mississippi
(7/13/2026)

Missouri
(7/13/2026)

Montana
(7/13/2026)

Nebraska
(7/13/2026)

Nevada
(7/13/2026)

New Hampshire
(7/13/2026)

New Jersey
(7/13/2026)

New Mexico
(7/13/2026)

New York
(7/13/2026)

North Carolina
(7/13/2026)

North Dakota
(7/13/2026)

Ohio
(7/13/2026)

Oklahoma
(7/13/2026)

Oregon
(7/13/2026)

Pennsylvania
(7/13/2026)

Puerto Rico
(7/13/2026)

Rhode Island
(7/13/2026)

South Carolina
(7/13/2026)

South Dakota
(7/13/2026)

Texas
(7/13/2026)

Utah
(7/13/2026)

Vermont
(7/13/2026)

Virgin Islands
(7/13/2026)

Virginia
(7/13/2026)

Washington
(7/13/2026)

West Virginia
(7/13/2026)

Wisconsin
(7/13/2026)

Wyoming
(7/13/2026)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/6/2024

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/25/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/19/2024

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

SPIDERROCK ADVISORS, LLC

CRD#: 171992 / SEC#: 801-80178

RIA

Registered Investment Advisory firm - (8/20/2014 Approved)

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Contact information

Main Address

227 West Monroe Suite 4300, Chicago, IL 60606

Mailing Address

Phone number

(312) 847-0300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SPIDERROCK ADVISORS FORM ADV PART 2A (1/2/2026)

Regulatory assets under management

Total Number of Accounts	3,050
AUM (Assets Under Management)	$ 5,979,259,343

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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Firm Stability Insights

Fredric D. Kaplan

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Fredric Dana Kaplan's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPIDERROCK ADVISORS, LLC

BLACKROCK INVESTMENTS, LLC

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

Primary Firm SEC Registration

SPIDERROCK ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/6/2024

Series 7TO

Date: 7/25/2024

SIE

Date: 3/19/2024

FINRA

Current Firm

SPIDERROCK ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SPIDERROCK ADVISORS, LLC

TRUST BUT VERIFY

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