LK
Lynn S. Kaplan
CAPITAL ANALYSTS
Needham, MA 02492
Some features on this profile are disabled
CRD#: 867312
LK
Professional summary
Lynn Schreiber Kaplan, AIF®, CFP®, who also goes by Lynn Beth Kaplan, Lynn Schreber Kaplan, Lynn Beth Schreiber, is a registered financial advisor currently at CAPITAL ANALYSTS located in Needham, Massachusetts and LINCOLN INVESTMENT located in Needham, Massachusetts.
Lynn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Lynn has worked at 7 firms and has passed the Series 63, Series 6TO, SIE, Series 1, Series 51 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lynn Beth Kaplan | Lynn Schreber Kaplan | Lynn Beth Schreiber
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.
INSURANCE
POSITION: Managing General Agent NATURE: Fixed Annuities, Life Insurance, Long Term Care INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 3 START DATE: 07/01/1985
ADDRESS: 333 Chestnut Street, Needham MA 02492, United States
DESCRIPTION: Sell fixed annuities and life insurance and long term care insurance
HORIZON FINANCIAL GROUP, INC
POSITION: Managing General Agent NATURE: Fixed annuities, life insurance, long term care insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 07/01/1985
ADDRESS: 117 Kendrick St, Suite 300, Needham MA 02494, United States
DESCRIPTION: Selling and supervising advisors in the sale of fixed annuities, life insurance, and long term care insurance
CRS (Client Relationship Summary) - RIA
Click below to view Lynn Schreiber 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
September 15, 2015 - Present
CAPITAL ANALYSTS
Office #1: 333, Needham, MA 02492RIA
CRD#: 162200
Needham, MA
Current
August 2, 2010 - Present
LINCOLN INVESTMENT
Office #1: 117 Kendrick Street Suite 300, Needham, MA 02494RIA
BD
CRD#: 519
Needham, MA
Past
November 4, 1994 - August 2, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
BD
CRD#: 36451
NEEDHAM, MA
Past
October 15, 1993 - December 23, 1996
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Past
August 26, 1993 - November 4, 1994
CONSECO EQUITY SALES, INC.
BD
CRD#: 4125
CARMEL, IN
Past
July 26, 1990 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
Past
January 6, 1987 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
HARTFORD, CT
Past
June 15, 1979 - June 4, 1985
METLIFE INVESTORS DISTRIBUTION COMPANY
BD
CRD#: 6695
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".
CA
CAPITAL ANALYSTS
CAI ACQUISITION, INC | THE LINCOLN INVESTMENT COMPANIES | CAPITAL ANALYSTS, LLC | CAPITAL ANALYSTS, INC | CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
RIA
Registered Investment Advisory firm - (4/17/2012 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.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
California(1/10/2020)
RR
Colorado(8/5/2025)
RR
Connecticut(8/2/2010)
RR
Florida(1/3/2019)
RR
Maine(8/2/2010)
RR
Maryland(1/3/2019)
RR
Massachusetts(8/2/2010)
IAR
Massachusetts(9/15/2015)
RR
New Hampshire(8/2/2010)
RR
New Jersey(8/2/2010)
RR
New York(3/9/2011)
RR
North Carolina(1/2/2024)
RR
Pennsylvania(8/2/2010)
RR
Rhode Island(8/2/2010)
RR
South Carolina(1/3/2019)
RR
Vermont(8/2/2010)
RR
Virginia(1/3/2019)
RR
Wisconsin(8/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 6/9/1979
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CA
CAPITAL ANALYSTS
CAI ACQUISITION, INC | THE LINCOLN INVESTMENT COMPANIES | CAPITAL ANALYSTS, LLC | CAPITAL ANALYSTS, INC | CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
RIA
Registered Investment Advisory firm - (4/17/2012 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232
Mailing Address
Phone number
(800) 242-1421
Established
Firm type
Fiscal year end
# of Employees
739
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,578 |
| AUM (Assets Under Management) | $ 8,713,202,466 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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.
Company Information
CAPITAL ANALYSTS
CRD#: 162200Needham, MA 02492TRUST BUT VERIFY
Monitor Lynn Kaplan
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
